Remote Suitability Principal

MassMutual; Springfield (MA); Hybrid; USD 90,000 - 120,000; Full time

Job summary

MassMutual is seeking a Suitability Principal to conduct back-office reviews and approve new business submissions, including accounts via National Financial Services and sponsors. You will work closely with Compliance and Field teams to ensure suitability and regulatory adherence, while developing subject-matter knowledge across multiple product lines.

The role emphasizes ownership, collaboration, and the ability to adapt in a fast-paced environment.

Qualifications

• FINRA Series 7 and 24 licenses required at time of application.
• 2+ years MMLIS experience and/or 3+ years conducting suitability reviews.
• High school diploma or equivalent required.

Responsibilities

• Conduct back-office reviews and approve new and existing submissions for brokerage, advisory, and related lines.
• Review trading activity and apply supervisory controls per firm policies; develop expertise across lines.
• Identify root causes, implement solutions, and resolve issues with minimal supervision when possible.
• Maintain and manage operational and supervisory procedures for the firm.
• Communicate with registered representatives and internal partners; perform regulatory reviews as needed.
• Report risk trends and advise on risk mitigation strategies to management.

Skills

FINRA Series 7

FINRA Series 24

Education

High School Diploma/GED/HiSET

Job description

MassMutual is seeking a Suitability Principal to conduct back-office reviews and approve new business submissions, including accounts via National Financial Services and sponsors. You will work closely with Compliance and Field teams to ensure suitability and regulatory adherence, while developing subject-matter knowledge across multiple product lines.

The role emphasizes ownership, collaboration, and the ability to adapt in a fast-paced environment.