Rose Baker
About Rose Baker
Rose Baker is the Director of Compliance at MassMutual Financial Group in Enfield, CT, specializing in forensic testing and regulatory audits.
Current Position at MassMutual Financial Group
Rose Baker is the Director of Compliance at MassMutual Financial Group, based in Enfield, CT. In this role, she oversees compliance operations, ensuring regulatory adherence and managing compliance risks. Additionally, she develops and delivers compliance training programs to maintain and enhance the firm's regulatory standards.
Previous Experience at Babson Capital Management
From 2001 to 2006, Rose Baker served as a Director at Babson Capital Management in Springfield, Massachusetts Area. During her five-year tenure, she gained significant experience in the financial industry, which laid the foundation for her expertise in compliance and regulatory practices.
Academic Background in Political Science and Government
Rose Baker holds a Bachelor of Arts (BA) degree in Political Science and Government from the College of the Holy Cross. Her academic background has provided her with critical insights into governance and regulatory frameworks, which she applies in her current role.
Specialization in Forensic Testing and Regulatory Audits
Rose Baker specializes in forensic testing and regulatory audits, playing a crucial role in ensuring compliance and mitigating risks at MassMutual Financial Group. Her specialization involves conducting thorough and detailed inspections to detect and prevent non-compliance issues.
Oversight of MML Advisers’ Code of Ethics
In her capacity as Director of Compliance, Rose Baker manages the administration of MML Advisers' Code of Ethics. This includes oversight of personal trading activities, maintaining information barriers, monitoring outside business activities, and managing policies related to gifts and entertainment. Her responsibilities ensure that all advisers adhere to the ethical standards required by MassMutual.