Mike Oconnor

Background

About Mike Oconnor

With over 20 years of experience in broker dealer operations management, I have developed core competencies in managing workflow, people management, people development, and process improvement. In my previous role as a Senior Director of Investment Operations at MassMutual, I led the cashiering department responsible for all money movement in and out of brokerage accounts, ensuring compliance with IRS and regulatory requirements, delivering process improvements, and navigating the tax and end of year deadlines. I was also the project lead for the Cashiering and Controls groups for the multi-year transition to a new, enterprise-wide software. I hold FINRA Licenses 7, 63, 4, and 24, and have extensive experience working with NFS – Wealthscape, BPM, and FBSI. My mission is to enhance the broker dealer client experience and satisfaction, by leveraging my licenses and expertise, and collaborating with my team and stakeholders.