Suitability Principal

Job Description

The Opportunity

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.

The Team

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 Impact

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.

The Minimum Qualifications

• 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 office

The Ideal Qualifications

What to Expect as Part of MassMutual and the Team

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MassMutual is an equal employment opportunity employer. We welcome all persons to apply.

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