Position Overview

Compliance Principal

Vision Financial Group, a MassMutual firm, is a growing financial firm.  The firm is hiring a Compliance Principal who is motivated and will provide outstanding customer experience.

This position is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency’s securities business through MML, Investors Services, LLC. (“MMLIS”).

Projects include support with:

Inspections and Monitoring: 
  • Conduct inspections of district offices and registered detached office locations. Create and maintain all required documentation.
  • Notify Head of Risk of material deficiencies identified and develop written action plans to address such production, activity, and exception reports.
Client File Review:
  • Conduct client file reviews and create and maintain all required documentation of reviews.
Producer Interviews:
  • Incumbent shall conduct producer interviews as required by the Manual and as otherwise directed by the Head of Risk.
  • Incumbent shall notify the Head of Risk of any deficiencies identified during such interview and develop written plans to address such deficiencies.
Email and Social Media Review: 
  •  Responsible for conducting daily reviews of Firm emails and Social Media accounts through approved Compliance systems.
Financial Plans: 
  • Responsible for the administration, review, approval, and record keeping of Financial Plans submitted by Advisors to Compliance for approval and delivery to clients.


  • Strong ability to identify efforts that will improve firm efficiency.
  • Must have knowledge and experience to anticipate, identify and resolve problems.
  • Must possess self-motivation and organizational skills.
  • Management or supervisor experience a plus
  • Licensing Requirements: Series 7, Series 24 and Series 63
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