Suitability Principal

MassMutual • Springfield, MA

6d • Hybrid

About The Position

MML Investors Services is seeking a Suitability Principal team lead to support sophisticated financial advisors and their staff. The role manages time-sensitive and frequently escalated cases with confidence and professionalism, prioritizing the needs of advisors and their clients. It also supports Advisory Operations and Cashiering and conducts back-office reviews of complex, high-risk brokerage money-movement transactions for accounts clearing through National Financial Services.

The team lead provides education and drives readiness in a fast-paced, changing environment, ensuring the team can execute complex securities transactions and deliver strong individual production results. The role provides exceptional service to advisors and their staff, contributes to strategic “Making it Easier” initiatives, and collaborates with peer teams across the broker-dealer. The position calls for accountability, agility, business acumen, strong communication, adaptability, and the ability to coach and support a dynamic team.

The team is part of MassMutual’s Broker-Dealer and Registered Investment Advisor organization and supports top-tier advisors through Society 1851 Wealth Management. The approximately 20-person team includes FINRA-licensed and unlicensed associates and performs daily back-office operations intended to enhance the advisor experience.

Requirements

• FINRA Series 7 and Series 24 licenses required at the time of application.
• At least 3 years of MMLIS experience and/or at least 4 years of experience with brokerage or money-movement transactions.
• High school diploma, GED, or HiSET.
• Strong communication skills and the ability to learn and adapt.
• Ability to make prudent, risk-based decisions autonomously.
• Ability to deliver high-quality results on time while multitasking and shifting work efforts as business needs require.
• Strong attention to detail, ownership, and willingness to embrace continuous improvement and challenge the status quo.
• Strong understanding of BD/RIA operational platforms and workflows.
• Current knowledge of industry rules and regulations.

Nice To Haves

• At least 5 years of MMLIS experience.
• At least 1 year of coaching or mentoring experience.
• Bachelor’s degree.
• Knowledge of the MassMutual career agency system and sales processes.
• Ability to quickly establish credibility and develop strong working relationships with internal and external constituents.
• Superior written and verbal communication skills.
• Proven ability to coach and mentor.

Responsibilities

• Lead a team supporting sophisticated financial advisors and their staff.
• Manage time-sensitive and frequently escalated cases professionally, prioritizing advisors’ and clients’ needs.
• Support Advisory Operations and Cashiering functions.
• Conduct back-office reviews of complex, high-risk brokerage money-movement transactions for accounts clearing through National Financial Services.
• Deliver education and drive team readiness in a fast-paced, changing environment.
• Ensure the team is positioned to execute complex securities transactions and deliver strong individual production results.
• Provide exceptional service to advisors and their staff.
• Contribute to strategic “Making it Easier” initiatives.
• Collaborate with peer teams throughout the broker-dealer.
• Coach and mentor team members and serve as a knowledgeable resource for the team.

Benefits

• Incentive and bonus opportunities.
• Industry-leading pay and benefits.
• Access to learning, development, and internal networks.
• Employee-led communities and forums that foster connection, learning, and inclusion.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: High school or GED