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Suitability Principal

2 months ago

Springfield, Massachusetts, United States MassMutual Full time

The Opportunity

We are seeking a highly skilled Suitability Principal to join our team at MassMutual. As a key member of our Elite Services team, you will play a critical role in conducting back-office reviews and firm-acceptance of new and existing business submissions. Your expertise will be essential in ensuring the suitability of accounts clearing through National Financial Services (NFS).

The Team

Our 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, facilitating post-new account functions, including Advisory Operations, Cashiering, Transfer of Assets, and Account Maintenance. Our strategy focuses on growing and retaining our most successful and influential advisor population across the country, while supporting them with an operational experience that is laser-focused on ease of doing business.

The Impact

  • Conduct thorough back-office reviews 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, requiring a solid understanding of our platforms and systems.
  • Determine root causes of issues, provide solutions, and resolve matters independently without management supervision at times.
  • Implement and manage operational and supervisory procedures for the firm.
  • Effectively communicate with registered representatives, agency personnel, and internal business partners, including Compliance, Field Inspection, and Regional Supervisory Directors.
  • 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.

Requirements

  • 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.

What to Expect

  • Regular meetings with the Elite Services team.
  • Focused one-on-one meetings with your manager.
  • Access to mentorship opportunities.
  • Networking opportunities, including access to Business Resource Groups.
  • Access to learning content on Degreed and other informational platforms.
  • A stable and ethical work environment with industry-leading pay and benefits.