MM

MM

Suitability Principal

Springfield, MA · Principal

Sponsorship not specified$69k-$91kDetected 30 days ago
Process ImprovementCustomer SupportLeadershipCollaborationTime Management

About the role

  • As a Suitability Principal within the Transfer of Assets (TOA) and Inforce Operations team, you will play a critical role in safeguarding the firm by independently reviewing and approving asset movement activity across brokerage and advisory accounts.
  • Acting as a key decision-maker, you will ensure all transactions align with suitability, best interest, and regulatory standards while applying sound judgment to complex or high-risk scenarios.
  • This role offers the opportunity to directly influence business outcomes, mitigate risk, and enhance the overall advisor and client experience.

Requirements

  • In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services.

Nice to have

  • FINRA Series 7 & 24 required at time of application
  • 2+ years of MMLIS experience and/or 3+ years of experience within the brokerage/advisory space
  • Comfortability/ability to work 9-5:30 and/or 9:30-6
  • High School Diploma or equivalent
  • 3+ years' experience conducting suitability reviews
  • FINRA Series 4 and 53
  • Superior customer service skills.
  • Excellent interpersonal skills

Compensation

  • At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees.
  • Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.
  • A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits.
  • $69,000-$90,500

Benefits

  • Access to learning, development, and internal networks that support continuous growth and skill-building over time
  • Employee-led communities and forums that foster connection, learning, and inclusion across the organization
  • As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first.
  • For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.

Company info

  • You will join the MML Investors Services (MMLIS) TOA team, a highly collaborative group that partners closely with Financial Advisors, Agency leadership, Compliance, Field Inspection, and internal business partners across Cashiering, Advisory, and Trading.
  • The team is responsible for facilitating the accurate and compliant movement of client assets while providing guidance, education, and problem resolution to the field in a fast-paced, service-oriented environment.
  • In this role, you will drive the quality and integrity of business accepted by the firm by identifying risks, reducing NIGO items, and improving operational efficiency.
  • You will analyze trends, uncover root causes of recurring issues, and recommend solutions that strengthen controls and processes.
  • Through your expertise and collaboration, you will help protect clients, support advisors, and contribute to continuous improvement across the organization.
  • The Minimum Qualifications
  • 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
  • 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.
  • Must be able to think independently and tactfully challenge the opinions of others.
  • What to Expect as Part of MassMutual and the Team
  • MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes.
  • In this role, you can expect:
  • Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes
  • A collaborative environment where perspectives are welcomed

Equal opportunity

  • 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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This listing is sourced directly from MM's careers page and normalized into a canonical job model.