Senior Remote Suitability Principal – Compliance & Risk

Hiltonwoodclifflake; Springfield (MA); Hybrid; USD 95,000 - 130,000; Full time

Job summary

MassMutual's MML Investors Services (MMLIS) Cashiering department seeks a Suitability Principal to review brokerage and money movement activities and ensure firm acceptance of submissions with high accuracy. You will liaise with Compliance, Field Inspection, and Regional Supervisory Directors while guiding staff in regulatory requirements.

The role emphasizes leadership, critical thinking, and strong communication. Some remote work may be possible, with on-site expectations near Springfield, MA.

Qualifications

• FINRA Series 7 at time of application.
• Must obtain FINRA Series 24 within 90 days of hire.
• 2+ years MMLIS experience and / or 3+ years' experience with Brokerage/Advisory Transfer of Assets or Money Movement transactions.
• High School Diploma/GED/HiSET.
• Principals working 100% remotely may be subject to on-site inspection by MML and/or regulators.
• Candidates residing within 50 miles of the MassMutual Springfield office will be expected to work a Hybrid schedule of 3 days a week in the office.

Responsibilities

• Conduct back-office review and firm-acceptance of Broker Dealer business submissions including Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, money movement, transfers, and account maintenance.
• Handle the review of death and divorce related transfers between accounts, federal wire disbursements, international money movement, restriction removals and collateral releases.
• Assist in the processing of daily transactions by reviewing and approving for accuracy, alignment with client instructions and internal policies while multitasking and prioritizing duties throughout the day to ensure timely resolution.
• Working independently and in a team environment on these duties for individual and team wide success.
• Determine root cause of issues, provide solutions, and resolve matters independently without management supervision.
• Implementation and management of operational and supervisory procedures for the firm.

Job description

MassMutual's MML Investors Services (MMLIS) Cashiering department seeks a Suitability Principal to review brokerage and money movement activities and ensure firm acceptance of submissions with high accuracy. You will liaise with Compliance, Field Inspection, and Regional Supervisory Directors while guiding staff in regulatory requirements.

The role emphasizes leadership, critical thinking, and strong communication. Some remote work may be possible, with on-site expectations near Springfield, MA.