Suitability Principal (Transfer of Assets)

MassMutual•Springfield, MA

6d•Hybrid

About The Position

Step into a high-impact role where you’ll serve as a key decision-maker for firm acceptance and suitability across brokerage and advisory business. As a Suitability Principal, you’ll review complex in-force transactions, guide stakeholders on best interest standards, and play a critical role in ensuring compliance, risk management, and a seamless client experience. This is an opportunity to leverage your expertise while influencing firm-wide practices and outcomes. You’ll join the MMLIS Transfer of Assets (TOA) and Inforce Operations team, a collaborative, high-performing group that partners closely with Compliance, Field Leadership, Advisory, Trading, and National Financial Services (NFS). The team is known for delivering best-in-class operational and regulatory support, providing guidance and education to field representatives, encouraging cross-training, collaboration, and continuous development, and driving consistency and efficiency across complex financial operations. In this role, you’ll make a meaningful impact by acting as a trusted advisor and escalation point for complex, high-risk transactions and suitability decisions, reviewing and approving brokerage, advisory, and transfer activity with a strong focus on compliance, accuracy, and risk mitigation, partnering with internal and field stakeholders to resolve issues, provide guidance, and improve decision quality, identifying trends and recommending solutions to enhance processes, reduce risk, and improve ease of doing business, and applying critical thinking and regulatory expertise to solve complex challenges and drive consistent outcomes.

Requirements

FINRA Series 7 & 24 required at time of application
3+ years MMLIS experience and / or 5+ years experience with Brokerage/Advisory Transfer of Assets or Money Movement transactions
High School Diploma/GED/HiSET
Comfortability/ability to work 9-5:30 and/or 9:30-6

Nice To Haves

5+ years within MMLIS or 8+ years supporting brokerage/advisory operations, with deep expertise in Transfer of Assets, money movement, and suitability review
Bachelor’s degree
Hands-on experience with platforms such as NFS Account Opening, Envestnet (ENV2), A360, Case Manager, Streetscape, and Fidelity systems
Strong understanding of brokerage/advisory structures, managed accounts, options, and regulatory risk frameworks
Proven ability to make high-impact, independent decisions and influence stakeholders, including senior field and compliance partners
Demonstrated track record of resolving complex issues, driving process improvements, and taking full ownership of outcomes
Excellent interpersonal and communication skills with the ability to translate complex risk concepts into clear guidance
Highly organized, adaptable, and able to thrive in a fast-paced, evolving environment with a strong sense of urgency
Experience contributing to policy refinement, risk mitigation, and cross-functional initiatives, with a passion for continuous improvement

Responsibilities

Act as a trusted advisor and escalation point for complex, high-risk transactions and suitability decisions
Review and approve brokerage, advisory, and transfer activity with a strong focus on compliance, accuracy, and risk mitigation
Partner with internal and field stakeholders to resolve issues, provide guidance, and improve decision quality
Identify trends and recommend solutions to enhance processes, reduce risk, and improve ease of doing business
Apply critical thinking and regulatory expertise to solve complex challenges and drive consistent outcomes