Philip Wellman
Philip is Vice President and Chief Compliance Officer for the MassMutual Select Funds, MassMutual Premier Funds, MassMutual Advantage Funds, MML Series Investment Fund, and MML Series Investment Fund II, as well as for MML Investment Advisers, LLC. He is responsible for managing the compliance and ethics programs for the mutual funds and investment adviser, including policies and procedures, regulatory matters, conflicts and risk management, and service provider due diligence. He also serves as part of the senior leadership team for the Compliance & Ethics Department at Massachusetts Mutual Life Insurance Company.
Prior to joining MassMutual, Philip was Senior Vice President and Assistant General Counsel at Advest, Inc., in Hartford, Connecticut, a regional brokerage firm that provided brokerage, trading, investment banking, and asset management services to retail and institutional investors. He served as Advest's senior litigation counsel. He handled regulatory investigations for the company and was responsible for customer arbitrations, securities class actions, non-complete and trade secret disputes, general litigation, and privacy matters. Before moving in-house, Philip practiced with Day, Berry & Howard LLP.
Philip 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 or participated as a speaker on panels at many legal and industry conferences.
Philip 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 also is a member of the American Bar Association, the Association of Corporate Counsel, the Investment Company Institute, and the Securities Industry and Financial Markets Association. He currently serves as the Vice Chair of ICI’s Chief Compliance Officer Committee and Chair of its CCO Advisory Issues Subcommittee; 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; and the Past Chair of the CBA’s Antitrust and Trade Regulation Section. He also has been appointed as an industry arbitrator by the Financial Industry Regulatory Authority.