Suitability Principal

MassMutual; Town of Springfield (WI); Hybrid; USD 140,000 - 190,000; Full time

Job summary

MassMutual is seeking a Suitability Principal team lead to support the In Force group, overseeing back-office reviews of complex brokerage money movements and escalated cases. You will work with advisory operations and cashiering to ensure compliant, timely execution while guiding a skilled team of professionals.

The role requires FINRA Series 7 & 24, 3+ years of MMLIS or 4+ years in brokerage/money movement, and a hybrid schedule within 50 miles of the MassMutual Springfield office.

Qualifications

• FINRA Series 7 & 24 required at time of application.
• 3+ years MMLIS experience and/or 4+ years' experience with Brokerage/ Money Movement transactions.
• High School Diploma/GED/HiSET.

Responsibilities

• Manage time-sensitive and frequently escalated cases with confidence and professionalism.
• Back-office reviews of complex, high risk brokerage money movement transactions for accounts clearing through National Financial Services.
• Collaborate with Advisory Operations and Cashiering; provide exceptional service to advisors and clients.

Education

High School Diploma/GED/HiSET

Bachelor's degree

Job description

The Opportunity

MML Investors Services is looking for a Suitability Principal team lead who understands the needs of our sophisticated financial advisors and their staff. The team lead is responsible for managing time-sensitive and frequently escalated cases with confidence and professionalism, consistently prioritizing the needs of our advisors and their clients. Other responsibilities include functions such as Advisory Operations and Cashiering. Furthermore, you will conduct back-office reviews of complex, high risk brokerage money movement transactions for accounts clearing through National Financial Services. In this role you will demonstrate accountability, agility, and strong business acumen along with courage, even in the most difficult situations. Strong collaboration with our peer teams throughout the broker dealer is also critical to your success.

The Team

As the Broker-Dealer (BD) and Registered Investment Advisor (RIA) arm of MassMutual's Wealth Management organization, we have grown significantly over recent years. This will remain among our top strategic pillars. To best align and support this growth, we have segmented the service and operations facets to exclusively support our top-tier advisors. Branded Society 1851 Wealth Management, our strategy includes growing and retaining our experienced advisor population through MassMutual agencies across the country. We aim to support our advisors with white glove, comprehensive service to help them expand and scale their practices. Our culture embraces a team mentality and thrives on effective collaboration, strong business acumen, and a laser focus on eloquent and detailed communication. The team of about 20 associates, both FINRA-licensed and unlicensed, executes on daily back-office operations aimed at enhancing the advisor experience.

The Impact

The In Force team lead will deliver education and drive readiness in an ever-changing, fast paced environment. You must ensure the team is well positioned to support the day-to-day execution of often complex securities transactions and delivering strong individual production results. Additionally, you will provide exceptional service to advisors and their staff while also contributing to strategic ‘Making it Easier’ initiatives. The ideal candidate must demonstrate strong communication skills along with the ability to learn, adapt, all while being the ‘go-to’ for a talented and dynamic team.

The Minimum Qualifications

• FINRA Series 7 & 24 required at time of application
• 3+ years MMLIS experience and / or 4+ years' experience with Brokerage/ 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 MassMutual office will be expected to work a Hybrid schedule of 3 days a week in the Springfield office

The Ideal Qualifications

• 5+ years of MMLIS experience
• 1+ year experience coaching/mentoring
• Bachelor's degree
• Self-starter that can make prudent, risk-based decisions with autonomy
• Knowledge of the MassMutual career agency system and sales processes
• Expertise in quickly establishing credibility and developing strong working relationships with internal and external constituents
• Superior written & verbal communication skills
• Effective and proven ability to coach and mentor
• Demonstrated ability to deliver high-quality results on time while being able to multitask and shift work efforts as business needs require
• High degree of ownership, superior attention to detail, willingness to embrace continuous improvement opportunities and challenge the status quo
• Strong understanding of BD/RIA operational platforms and workflows
• Abreast of industry rules and regulations

What You Can Expect at MassMutual

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
• 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
• A culture grounded in integrity, responsibility, and stewardship—supported by a company with a strong legacy and a future-focused mindset

MassMutual is an equal employment opportunity employer. We welcome all persons to apply.

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