Jim Puhala
About Jim Puhala
Jim Puhala is the Vice President of USIG Compliance at MassMutual Financial Group, overseeing field and regulatory compliance.
Title and Current Roles at MassMutual
Jim Puhala is the Vice President responsible for USIG Compliance at MassMutual. He concurrently holds the role of Head of Field and Regulatory Compliance at MassMutual's Springfield, Massachusetts, office. In these capacities, he leads compliance efforts, ensuring adherence to regulatory standards and effectively managing compliance functions across the organization.
Previous Roles at MassMutual Financial Group
At MassMutual Financial Group, Jim Puhala served as Second Vice President & Associate General Counsel in the Law Department from 1997 to 2006, accumulating nine years of legal experience. During this tenure, he was involved in various legal and compliance matters, contributing significantly to the company's legal strategies and compliance frameworks.
Educational Background
Jim Puhala earned a Doctor of Law (J.D.) degree from Western New England College School of Law between 1991 and 1994. Prior to that, he completed his Bachelor of Arts (B.A.) in English Language and Literature, General, from the College of the Holy Cross, graduating in 1991. His academic background laid a strong foundation for his extensive career in legal and compliance roles.
Compliance Leadership
In his role at MassMutual, Jim Puhala leads four teams, comprising 55 individuals, responsible for diverse compliance functions. His responsibilities include overseeing the inspection of sales office (OSJ) locations, supporting supervisors in finding solutions to complex supervisory issues, training supervisory personnel, and reporting and analyzing compliance trends. Additionally, he reviews public communications and addresses regulatory inquiries, including market conduct exams.
Nearly 20 Years of Experience in Financial Services
Jim Puhala has amassed nearly 20 years of experience in the financial services industry's legal and compliance sectors. His expertise spans various areas, including the distribution of insurance and securities products and investment advisory issues. He possesses significant experience in negotiating complex legal instruments, making him a valuable asset in navigating the intricate landscape of financial compliance.