Suitability Principal
MassMutualDes Moines, IA, US19 hours ago
Job type
- Full-time
Job descriptionFINRA 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 office 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 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
The Opportunity
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.
What You’ll Do
- 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
The Minimum Qualifications
The Ideal Qualifications
What to Expect as Part of MassMutual and the Team
#LI-DK1
MassMutual is an equal employment opportunity employer. We welcome all persons to apply.
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
California residents : For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
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Principal • Des Moines, IA, US
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