Senior Suitability & Compliance Principal

MassMutual; United States; Ibrido; USD 110.000 - 150.000; Tempo pieno

Descrizione del lavoro

MassMutual seeks a Suitability Principal to conduct back-office suitability reviews and firm-acceptance for accounts cleared via National Financial Services (NFS). You will also review money movement, transfers, and account maintenance, leading with leadership and coaching across a collaborative MassMutual environment.

You will engage with Compliance, Field Inspection, and Regional Supervisory Directors, navigate complex regulatory requirements, and mentor teams on money movement policies and

Competenze

• FINRA Series 7 required 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
• FINRA Series 7 & 24 required at time of application
• 3+ years MMLIS experience and/or 5+ years experience conducting suitability reviews within brokerage/advisory space
• Extensive working knowledge of ICP, A360, Case Manager, Wealthscape, GIACT, Accurint/LexusNexus, FBSI, ENV2
• Ability to work in a fast paced environment
• High degree of ownership and urgency
• College degree preferred in business/finance
• Strong interpersonal skills; team player; patient; approachable

Mansioni

• Conduct back-office review and firm-acceptance of Broker Dealer submissions including Corporate RIA, Brokerage, Options accounts, 529 plans, money movement, transfers, and account maintenance
• Handle review of death and divorce related transfers, federal wire disbursements, international money movement, restriction removals and collateral releases
• Review daily transactions for accuracy and alignment with client instructions and internal policies
• Work independently and in a team environment for individual and team success
• Determine root causes and provide solutions with minimal supervision
• Implement and manage operational and supervisory procedures for the firm
• Communicate with registered representatives, agency personnel, and internal partners (Compliance, Field Inspection, Regional Supervisory Directors)
• Specialized regulatory knowledge of securities (Options, Municipal Securities, Mutual Funds, Margin)
• Involved in complex problem resolution requiring critical thinking
• Identify and report trends and risk mitigation measures to management
• Engage with Legal, Compliance, AML, Risk and Margin teams at MMLIS and NFS
• Become versed in retirement products, IRS regulations and banking services/workflows

Conoscenze

FINRA Series 7

FINRA Series 24

Brokerage/Advisory experience

Communication skills

Problem solving

Team collaboration

Formazione

High School Diploma/GED/HiSET

College degree in business or finance

Strumenti

ICP

A360

Case Manager

Wealthscape

GIACT

Accurint/LexusNexus

FBSI

ENV2 platform

Descrizione del lavoro

MassMutual seeks a Suitability Principal to conduct back-office suitability reviews and firm-acceptance for accounts cleared via National Financial Services (NFS). You will also review money movement, transfers, and account maintenance, leading with leadership and coaching across a collaborative MassMutual environment.

You will engage with Compliance, Field Inspection, and Regional Supervisory Directors, navigate complex regulatory requirements, and mentor teams on money movement policies and