Suitability Principal

3 weeks ago

Hartford CT United States MassMutual Full time

The Opportunity

As a Suitability Principal you will conduct back-office review and firm-acceptance of new and existing business and account maintenance submissions as well as suitability reviews for accounts clearing through National Financial Services (NFS). In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We also highly value strong communication skills, a passion for learning, leadership traits, resilience and self-awareness.

The Team

The MML Investors Services (MMLIS) Elite Services Team provides white glove, concierge level operational support and service to our Top-Tier Wealth Management advisors. We review and process all of their MMLIS New Business in addition to facilitating post new account functions including Advisory Operations, Cashiering, Transfer of Assets, and Account Maintenance. Our strategy includes growing and retaining our most successful and influential advisor population across the country and supporting them with an operational experience that is laser focused on the ease of doing business. We provide tailored telephony support and partner closely with all Service and Operations areas within MMLIS including MMLIS Product, MMFA leadership, Legal, and Compliance.

Key Responsibilities Include:

  • Conduct back-office review and firm-acceptance of new and existing submissions related to Brokerage, Direct and Third-Party Advisory accounts.

  • Review trading activity of registered representatives through supervisory control procedures and application of firm policies and procedures and will require the associate to eventually become a subject matter expert for all previously referenced lines of Inforce Business, including a solid understanding of our platforms and systems.

  • Determine root cause of issues, provide solutions, and resolve matters independently without management supervision at times.

  • Implementation and management of operational and supervisory procedures for the firm.

  • Ability to effectively communicate with registered representatives, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors. Specialized regulatory review of securities such as Options trading and Municipal Securities may be required. Involved daily in complex problem resolution requiring higher level critical thinking.

  • Consult with registered representatives, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines.

  • Consistently identify and report to management on trending and risk mitigation measures.

The Minimum Qualifications

  • FINRA Series 7 & 24 required at time of application

  • 1+ year MMLIS experience conducting suitability reviews OR 2+ years' financial services experience within the brokerage/advisory space

  • High School Diploma or equivalent

  • ** Principals working 100% remotely may be subject to on-site inspection by MML and/or regulators

***Candidates residing within 50 miles of MassMutual office will be expected to work a Hybrid schedule of 3 days a week in the office

The Ideal Qualifications

  • 3+ years' experience conducting suitability reviews

  • FINRA Series 4 and 53

  • Superior customer service skills.

  • Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style.

  • High aptitude for effective problem resolution.

  • Strong organizational and time management skills are essential

  • Ability to work in a fast paced, ever changing environment.

  • High degree of ownership and sense of urgency.

  • College degree preferred with a concentration in business or finance.

  • Passion for embracing business process improvement opportunities.

  • High aptitude for effective problem resolution.

  • Must be able to think independently and tactfully challenge the opinions of others.

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the Elite Services team

  • Focused one-on-one meetings with your manager

  • Access to mentorship opportunities

  • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups

  • Access to learning content on Degreed and other informational platforms

  • Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits

​

#LI-DK1

#LI-REMOTE

MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.

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