Speakers

Philip Wellman

Chief Compliance Officer

  • Company:MassMutual
  • Short Bio:Philip Wellman is Chief Compliance Officer for the MassMutual Funds, a fund complex that includes over 100 open-end and closed-end funds. He also is the CCO for MML Investment Advisers, LLC, an SEC-registered investment adviser. He is responsible for managing the compliance and ethics programs for the funds and the adviser, including policies and procedures, regulatory matters, conflicts and risk management, and service provider due diligence. Prior to joining MassMutual, Mr. Wellman was Senior Vice President and Assistant General Counsel at Advest, Inc., in Hartford, Connecticut, a regional brokerage firm that provided brokerage, trading, and investment banking services to retail and institutional investors. Before moving in-house, Mr. Wellman practiced law with Day, Berry & Howard LLP. Mr. Wellman received a B.A. with honors in political science from Trinity College and a J.D. with honors from the University of Connecticut School of Law, where he was an Articles Editor for the Connecticut Law Review. He is the author of articles and papers on securities fraud litigation, antitrust developments, and various other topics. He also has moderated panels or participated as a speaker at many legal and industry conferences. Mr. Wellman is an A/V-rated lawyer who is a member of the bars of the State of Connecticut, the Commonwealth of Massachusetts, and the federal courts for the District of Connecticut, the Southern District of New York, the Second Circuit Court of Appeals, and the District of Columbia Circuit Court of Appeals. He is an active member of the American Bar Association, the Connecticut Bar Association, the Association of Corporate Counsel, the Investment Company Institute, the National Society of Compliance Professionals; and the Securities Industry and Financial Markets Association. He currently serves as a member of the Board of Directors and Past President of the ACC's Connecticut Chapter and Past Chair for the ACC’s Financial Services Committee; Vice Chair of the ICI’s Chief Compliance Officer Committee; a members of NSCP's Regulatory Advisory Committee; and a Fellow of the American Bar Foundation and the Connecticut Bar Foundation. He also serves as an industry arbitrator for the Financial Industry Regulatory Authority.
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