Courtney Rogers Reid
Head of MMFA Compliance – Mass Mutual Life Insurance Company

 

Description of field of expertise

Courtney led MassMutual’s Black Strategic Initiative, which is a cross-functional enterprise effort to examine MassMutual’s external and internal engagement with the Black and African American community and to identify and execute strategies for MassMutual to deploy that will contribute to the elimination of systemic structures that exacerbate racial inequities.  In addition, Courtney served as Chair of Passages Business Resource Group (2019-2021), which focuses on issues relating to the advancement, retention, and development of Black and African American employees at MassMutual.  She has been a member of Passages’ leadership team for the past 4 years.

In addition to her roles above, Courtney recently moved positions to Head of MMFA Compliance within MassMutual’s Compliance Organization at MassMutual and before her new role Courtney was Lead Counsel within the Broker-Dealer and Investment Adviser practice group at MassMutual.  She was the primary regulatory attorney on FINRA and state securities matters that impact MassMutual’s retail broker-dealer, MML Investors Services, LLC.  

Before joining MassMutual in 2016, Courtney was an industry litigator for over 14 years as both in-house and outside counsel.  She has represented broker-dealers and brokers in customer and industry disputes before FINRA’s Dispute Resolution Forum and currently serves on FINRA’s National Arbitration and Mediation Committee.

 

What advice would you offer to new attorneys interested in your field?

Always remain open to where your career path may go – even if it wasn’t on your original plan or even an area that you’ve focused on in school.  I started my legal career in a family law practice group of a large law firm, but found my true niche in financial services law.  I didn’t know when I started practicing 20 years ago that I would one day head a Compliance organization for a large financial services firm, but my openness to explore new areas helped me in the long run.