Join our Team at MassMutual Eastern PA -Advisor Services and Supervisory Support
We need someone like you to help grow our firm.
At MassMutual Eastern PA, we believe our success is rooted in the development of ethical and committed support staff. Our Horsham, PA location is seeking an experienced professional in Broker Dealer and RIA advisor services and operations to join our dynamic team. The position is multifaceted which includes supporting the supervisory team and collaborate with our registered representatives, advisors, agents, and their staff to help ensure business is conducted correctly and in compliance with the regulations that apply to our business.
Key Responsibilities:
- Manage inquiries from advisors and staff regarding new account opening, subsequent business, servicing of existing accounts and related requests.
- Assist producers and/or assistants in promptly resolving “Not in Good Order” submissions.
- Becoming a subject matter expert in investment business processing.
- Assign, track, and follow up on required training courses to agents, registered representatives, and associated persons.
- Review, process, approve and log incoming checks and securities.
- Coordinate and disseminate communications to agents, registered representatives, and associated persons.
- Coordinate training events for the supervisory team.
Ideal Candidate Attributes:
- A credible and respected guide to our advisors, with excellent coaching skills.
- A process-oriented mindset, curious and interested in staying attune to updates and changes locally and in our highly regulated industry.
- An open and honest communicator, able to convey critical information in a constructive way.
- Excellent written communications skills
- Ability to work under pressure while maintaining a positive attitude in stressful situations.
- Someone that is resourceful, takes satisfaction in problem solving and is highly analytical with a strong attention to detail.
Requirements:
- 3 to 5 years in the securities industry
- BA or BS degree or equivalent experience
- FINRA Series 7 and 24 licenses must be attained within 3 to 6 months of employment.
- Industry operational and regulatory knowledge regarding general securities, mutual funds, variable and fixed annuities. Working in a field office along with the understanding of a clearing firm relationship is a plus.
Ready to Make an Impact? Contact us today to discuss how you can leverage your experience to use to extend our mission.
