Suitability Principal

MassMutual•Springfield, MA

3d•Hybrid

About The Position

As a Suitability Principal within the Transfer of Assets (TOA) and Inforce Operations team, you will play a critical role in safeguarding the firm by independently reviewing and approving asset movement activity across brokerage and advisory accounts. Acting as a key decision-maker, you will ensure all transactions align with suitability, best interest, and regulatory standards while applying sound judgment to complex or high-risk scenarios. This role offers the opportunity to directly influence business outcomes, mitigate risk, and enhance the overall advisor and client experience. You will join the MML Investors Services (MMLIS) TOA team, a highly collaborative group that partners closely with Financial Advisors, Agency leadership, Compliance, Field Inspection, and internal business partners across Cashiering, Advisory, and Trading. The team is responsible for facilitating the accurate and compliant movement of client assets while providing guidance, education, and problem resolution to the field in a fast-paced, service-oriented environment. In this role, you will drive the quality and integrity of business accepted by the firm by identifying risks, reducing NIGO items, and improving operational efficiency. You will analyze trends, uncover root causes of recurring issues, and recommend solutions that strengthen controls and processes. Through your expertise and collaboration, you will help protect clients, support advisors, and contribute to continuous improvement across the organization.

Requirements

FINRA Series 7 & 24 required at time of application
2+ years of MMLIS experience and/or 3+ years of experience within the brokerage/advisory space
Comfortability/ability to work 9-5:30 and/or 9:30-6
High School Diploma or equivalent

Nice To Haves

3+ years' experience conducting suitability reviews
FINRA Series 4 and 53
Superior customer service skills.
Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style.
High aptitude for effective problem resolution.
Strong organizational and time management skills are essential
Ability to work in a fast paced, ever-changing environment.
High degree of ownership and sense of urgency.
College degree preferred with a concentration in business or finance.
Passion for embracing business process improvement opportunities.
High aptitude for effective problem resolution.
Must be able to think independently and tactfully challenge the opinions of others.

Responsibilities

Independently reviewing and approving asset movement activity across brokerage and advisory accounts.
Ensuring all transactions align with suitability, best interest, and regulatory standards.
Applying sound judgment to complex or high-risk scenarios.
Facilitating the accurate and compliant movement of client assets.
Providing guidance, education, and problem resolution to the field.
Identifying risks, reducing NIGO items, and improving operational efficiency.
Analyzing trends, uncovering root causes of recurring issues, and recommending solutions that strengthen controls and processes.