Since 2017, Flourish has been on a mission to help financial advisors evolve from holistic advice to holistic implementation to more fully serve their clients and achieve better outcomes. We focus on independent Registered Investment Advisors (RIAs), delivering financial products that advisors can’t easily access today through beautiful, scalable, and easy-to-use technology.
Today, we work with over 1,000 RIAs that collectively represent more than $2.6T in assets under management across two products — Flourish Annuities and Flourish Cash — and with our recent acquisition of Sora Finance, we’ll be adding a lending offering in 2026. Headquartered in New York City, we are an independently-operating, wholly-owned subsidiary of MassMutual Life Insurance Company.
Read on if you are interested in joining a small, highly-collaborative, rapidly-growing startup—backed by the support and stability of a Fortune 500 company.
You are a highly motivated and detail-oriented individual and think that triple checking your work to ensure accuracy is the minimum standard. You are thoughtful about risk and learn quickly from your mistakes. You are excited to work in a fast-paced environment where you can wear many hats and where your contributions directly impact the company's success. You like working together with like-minded individuals to solve problems and contribute to a team objective.
About the RoleThe growing Flourish Legal and Compliance team is part of the larger MassMutual Legal team. Covering a growing fintech platform, the Flourish Legal and Compliance Team works on a variety of business needs, including state licensing; fraud prevention; anti-money laundering and economic sanctions; broker-dealer surveillance, anti-corruption; data governance, security and privacy; and elder financial exploitation compliance strategies and programs.
In this role, you will work directly with a wide range of team members from across the Flourish team, including Legal and Compliance, senior leadership, and new hires. Key responsibilities will include, but are not limited to the following:
- Build out and maintain a program to manage multi-state licensing across multiple products
- Ensure compliance with state licensing regulations, including required documentation, fees, and deadlines for multiple products, and manage the end-to-end process of licensing applications and renewals across 51 states for multiple products
- Act as a liaison between state regulators and licensing agencies and internal terms for multiple products through entire licensing lifecycle, including resolving any issues or deficiencies in applications
- Provide clear communication to internal teams on the application process, requirements, and the status of applications and renewals
- Maintain accurate and up-to-date record for all licensing applications, renewals, training, and ongoing compliance requirements
- Conduct regular audits and reviews of license and training records to identify discrepancies, gaps, or potential areas of non-compliance
- Research and stay up to date with changes in licensing regulations and communicate necessary adjustments
- Serve as a subject matter expert by developing and maintaining a comprehensive understanding on licensing requirements and regulations across multiple jurisdictions and products, providing guidance and support to internal teams as needed
- Bachelor's degree or equivalent working experience
- 2+ years of project coordination or operational experience
- Deep understanding of software applications such as spreadsheets, Adobe, and Atlassian
- High degree of ownership, accountability, and sense of urgency
- Strong sense of judgement with the ability to interpret and work within guidelines while adhering to regulatory requirements
- Experience managing logistics for complex projects and the ability to reprioritize and shift priorities as needed
- Due to the nature of this position, as part of the background check process, candidates must be able to pass a fingerprint background check to qualify as a fingerprinted person under FINRA. For roles requiring registration, additional regulatory screenings may apply, including a review of Form U5 disclosures and other relevant licensing information.
- Strong analytical skills
- Prior experience in regulatory compliance or licensing and/or credentialing in multiple states
- Knowledge of licensing and registration laws in the insurance, investment, and/or mortgage industries
- Excellent interpersonal and communication skills; team player, self-movated, patient demeanor, and ability to collaborate effectively
- Excellent organizational and documentation skills
- Willingness to learn and adapt to change driven by regulatory, industry, and business developments
- Experience with MS Office and GSuite
- Ability to generate precise and thorough documentation
At Flourish, we focus on ensuring fair, equitable pay by providing competitive salaries, along with bonus and incentive opportunities and benefits for all employees.
Base Salary Range: $69,000 - $90,500 plus bonus
Disclosures:
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status.
