Thomas Daniel
About Thomas Daniel
Thomas Daniel is the Head of MMFA Compliance Testing and Risk at MassMutual, with extensive experience in regulatory compliance and risk management.
Company
Thomas Daniel currently holds the position of Head of MMFA Compliance Testing and Risk at MassMutual in the Springfield, Massachusetts Metropolitan Area. He oversees compliance and risk management programs, ensuring adherence to regulatory standards.
Title
As the Head of MMFA Compliance Testing and Risk, Thomas Daniel is responsible for developing and leading compliance testing and risk assessment programs for the company’s Broker-Dealer, Investment Adviser, and DOL compliance programs.
Education and Expertise
Thomas Daniel earned a Bachelor of Science in Business Administration and Management from Westfield State University, where he studied from 2004 to 2009. He holds several FINRA licenses, including Series 4, 7, 24, 53, and 63, and is a candidate for the Certified Investment Management Analyst® (CIMA®) designation. Additionally, he completed a Certificate in Blockchain and Digital Assets by April 2022.
Background
Thomas Daniel began his tenure at MassMutual in May 2010. His roles have spanned from Compliance Director to Compliance Consultant and Variable Annuity Subject Matter Expert. He initially worked as a Data Management Contractor at MassMutual Financial Group from 2008 to 2009.
Achievements
Thomas Daniel has extensive regulatory knowledge and business acumen, especially in FINRA rules and the Investment Advisers Act of 1940. He manages a team of seven professionals and has developed annual risk assessments for large retail and wholesale Broker-Dealers. His expertise includes areas such as risk analysis, regulatory operations, and strategic decision-making.