Suitability Principal

MassMutual•Springfield, MA

18d•$69,000 - $90,500•Hybrid

About The Position

Join MML Investors Services as a Suitability Principal and play a critical role in supporting our top-tier financial advisors. In this position, you’ll review complex, high-risk brokerage money movement transactions for accounts clearing through National Financial Services, ensuring accuracy and compliance. You’ll bring accountability, agility, and strong business acumen—and the courage to make sound decisions in challenging situations. Collaboration across our broker-dealer teams will be key to your success. The Team We are the Broker-Dealer (BD) and Registered Investment Advisor (RIA) arm of MassMutual’s Wealth Management organization—a strategic growth pillar for the company. Our Society 1851 Wealth Management team focuses exclusively on supporting experienced advisors with comprehensive, concierge-level service. You’ll join a collaborative group of about 20 associates who thrive on teamwork, precision, and continuous improvement. The Impact Your work directly impacts the advisor experience and strengthens MassMutual’s reputation for excellence. You’ll help deliver white-glove service to advisors, enabling them to grow and scale their practices. This is a chance to combine technical expertise with relationship-building in a dynamic, fast-paced environment.

Requirements

FINRA Series 7 & 24 required at time of application
2+ years MMLIS experience OR 3+ years' experience with Brokerage/Advisory space
High School Diploma
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

Nice To Haves

Bachelor’s Degree
3+ years’ experience in suitability review
Strong understanding of BD/RIA operational platforms and workflows
Self-starter that can make prudent, risk-based decisions with autonomy
Expertise in quickly establishing credibility and developing strong working relationships with internal and external constituents
Superior written & verbal communication skills
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
Abreast of industry rules and regulations

Responsibilities

Conduct back-office reviews of complex brokerage transactions
Deliver education and readiness in a rapidly evolving environment
Provide exceptional service to advisors and their staff
Contribute to strategic initiatives that simplify processes and enhance efficiency

Benefits

Regular meetings with the MMLIS In-Force Operations Team
Focused one-on-one meetings with your manager
Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran, and disability-focused Business Resource Groups
Access to learning content on Degreed and other informational platforms
Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits

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