Suitability Principal

MassMutual

. Manage time-sensitive and frequently escalated cases for financial advisors and their clients .

Posted 10/12/2026full-timeUnited StatesLead💰 $84,100 - $110,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in managing complex brokerage transactions and providing exceptional service to financial advisors. Capable of coaching and mentoring team members while ensuring compliance with industry regulations and enhancing operational efficiency.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24MMLIS ExperienceBrokerage TransactionsCoaching and Mentoring

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Advisory OperationsCashiering FunctionsBack-Office ReviewsSecurities TransactionsRisk-Based Decision Making

Soft Skills

Exceptional ServiceStrong Communication SkillsOwnershipAttention to DetailContinuous Improvement

Tools & Technologies

BD/RIA Operational Platforms

Certifications & Qualifications

FINRA Series 7FINRA Series 24

Industry Keywords

BrokerageMoney MovementMassMutualRegulatory ComplianceFinancial Advisors

About the role

Key responsibilities & impact

Manage time-sensitive and frequently escalated cases for financial advisors and their clients
Perform Advisory Operations and Cashiering functions
Conduct back-office reviews of complex, high-risk brokerage money movement transactions for accounts clearing through National Financial Services
Lead the In Force team and deliver education and readiness in a fast-paced environment
Ensure the team supports complex securities transactions and delivers strong individual production results
Provide exceptional service to advisors and their staff
Contribute to strategic “Making it Easier” initiatives
Collaborate with peer teams throughout the broker-dealer
Coach and mentor team members
Support daily back-office operations enhancing the advisor experience

Requirements

What you’ll need

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
5+ years of MMLIS experience (ideal)
1+ year experience coaching/mentoring (ideal)
Bachelor’s degree (ideal)
Self-starter able to make prudent, risk-based decisions with autonomy
Knowledge of the MassMutual career agency system and sales processes
Expertise establishing credibility and developing strong working relationships with internal and external constituents
Superior written and verbal communication skills
Ability to coach and mentor
Ability to deliver high-quality results on time while multitasking and shifting work efforts as business needs require
High degree of ownership and superior attention to detail
Willingness to embrace continuous improvement and challenge the status quo
Strong understanding of BD/RIA operational platforms and workflows
Knowledge of industry rules and regulations

Benefits

Comp & perks

Meaningful work within a purpose-driven organization
Clear areas of ownership and accountability
Collaborative environment where perspectives are welcomed
Access to learning, development, and internal networks
Employee-led communities and forums supporting connection, learning, and inclusion
Inclusive, vibrant, and diverse culture
Industry-leading pay and benefits
Incentive and bonus opportunities
Bonus target or Variable Incentive Compensation component
Extensive benefits offerings through MassMutual Total Rewards