Suitability Principal

MassMutual • Springfield, MA

2d • $69,000 - $90,500 • Remote

About The Position

Join MML Investors Services as a Suitability Principal and support our top-tier financial advisors. In this position on the Account Maintenance team, you’ll play a critical role in safeguarding our clients and the firm. The team is responsible for the assessment and review of submitted documentation related to account maintenance and money movement, including determining the authorization of individuals acting on client and entity accounts. This work frequently involves collaboration with our legal team to evaluate eligibility, authority, and account privileges, particularly in complex or high‑risk scenarios. You’ll review complex, high-risk 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 Account Maintenance 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

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED
• Number of Employees: 5,001-10,000 employees