Suitability Principal

MassMutual•Springfield, MA

18d•Hybrid

About The Position

MML Investors Services is looking for a Suitability Principal team lead who understands the needs of our sophisticated financial advisors and their staff. The team lead is responsible for managing time-sensitive and frequently escalated cases with confidence and professionalism, consistently prioritizing the needs of our advisors and their clients. Other responsibilities include providing day-to-day leadership and guidance for the Society 1851 Wealth Management In Force team, which may include functions such as Advisory Operations and Cashiering. Furthermore, you will conduct back-office reviews of complex, high risk brokerage money movement transactions for accounts clearing through National Financial Services. In this role you will demonstrate accountability, agility, and strong business acumen along with courage, even in the most difficult situations. Strong collaboration with our peer teams throughout the broker dealer is also critical to your success. As the Broker-Dealer (BD) and Registered Investment Advisor (RIA) arm of MassMutual’s Wealth Management organization, we have grown significantly over recent years. This will remain among our top strategic pillars. To best align and support this growth, we have segmented the service and operations facets to exclusively support our top-tier advisors. Branded Society 1851 Wealth Management, our strategy includes growing and retaining our experienced advisor population through MassMutual agencies across the country. We aim to support our advisors with white glove, comprehensive service to help them expand and scale their practices. Our culture embraces a team mentality and thrives on effective collaboration, strong business acumen, and a laser focus on eloquent and detailed communication. The team of about 20 associates, both FINRA-licensed and unlicensed, executes on daily back-office operations aimed at enhancing the advisor experience. The In Force team lead will deliver education and drive readiness in an ever-changing, fast paced environment. You must ensure the team is well positioned to support the day-to-day execution of often complex securities transactions and delivering strong individual production results. Additionally, you will provide exceptional service to advisors and their staff while also contributing to strategic ‘Making it Easier’ initiatives. The ideal candidate must demonstrate strong communication skills along with the ability to learn, adapt, all while being the ‘go-to’ for a talented and dynamic team.

Requirements

FINRA Series 7 & 24 required at time of application
3+ years MMLIS experience and / or 4+ years' experience with Brokerage/ Money Movement transactions
High School Diploma/GED/HiSET
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

Over 5 years of MMLIS experience
1+ year experience coaching/mentoring
Bachelor’s degree
Self-starter that can make prudent, risk-based decisions with autonomy
Knowledge of the MassMutual career agency system and sales processes
Expertise in quickly establishing credibility and developing strong working relationships with internal and external constituents
Superior written & verbal communication skills
Effective and proven ability to coach and mentor
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
Strong understanding of BD/RIA operational platforms and workflows
Abreast of industry rules and regulations

Responsibilities

Managing time-sensitive and frequently escalated cases with confidence and professionalism, consistently prioritizing the needs of our advisors and their clients.
Providing day-to-day leadership and guidance for the Society 1851 Wealth Management In Force team, which may include functions such as Advisory Operations and Cashiering.
Conducting back-office reviews of complex, high risk brokerage money movement transactions for accounts clearing through National Financial Services.
Deliver education and drive readiness in an ever-changing, fast paced environment.
Ensure the team is well positioned to support the day-to-day execution of often complex securities transactions and delivering strong individual production results.
Provide exceptional service to advisors and their staff while also contributing to strategic ‘Making it Easier’ initiatives.

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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