Compliance Coordinator jobs in Pittsburgh, PA

This unique position will assist and provide investment and compliance support to the Firm and report directly to the Director of Compliance.

Essential Functions will include but not limited to:

• Provide support and guidance to Financial Representatives and their staff as it relates to business processes and other general inquiries
• Communicate and respond to Financial Representatives regarding compliance and supervision issues, industry rules, and firm policies and procedures
• Work closely with other team members, departments, home office staff, and field personnel to promote the overall objectives of the Firm
• Assist Director of Compliance with annual office inspections, personal interviews, and client file reviews
• Maintain various logs and recordkeeping and track firm training requirements

• Bachelor’s degree, preferably in Finance or Business
• SIE preferred, and the ability to obtain FINRA Series 7, Series 66, and Series 24 licenses within 6 months of starting position
• Strong working knowledge of the brokerage\investment advisory business, the regulatory environment, and the services related to the industry preferred
• Strong Technology and communication skills
• The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department, the region, and the Firm as a whole

At MassMutual Pittsburgh, we focus on setting the standard for progressive leadership throughout our region. We foster an inclusive environment where everyone works together in harmony toward the common goal of servicing our clients and community.

We take great pride in the work we do with individuals, families, and businesses to provide financial services for every stage of life. Exceeding expectations is what drives us – We not only provide a vast portfolio of product offerings, but we also serve and support our clients throughout the life of the relationship. We do this by building these relationships on the foundations of honesty, integrity, and respect, never forgetting the importance our clients hold in the life of our Firm.

We encourage members of underrepresented groups and multi-lingual candidates, including American Sign Language, to apply. 

Benefits include a full medical, dental vision, 401(k) Savings Plan, and paid time off.