Suitability Principal

MassMutual

. Conduct back-office reviews and provide firm acceptance of new and existing business submissions .

Posted 10/12/2026full-timeUnited StatesLead💰 $69,000 - $90,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting suitability reviews and operational support within the Wealth Management sector, with a strong focus on regulatory compliance and risk mitigation. Possesses advanced problem-solving skills and the ability to communicate effectively with various stakeholders.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24MMLIS ExperienceSuitability ReviewsRegulatory Compliance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Back-Office ReviewsTrading Activity ReviewOperational Procedures ManagementRisk MitigationCritical ThinkingBusiness Process ImprovementSecurities ReviewRoot Cause AnalysisSolution DevelopmentTrend Identification

Soft Skills

Customer Service SkillsInterpersonal SkillsOrganizational SkillsTime-Management SkillsProblem Resolution

Certifications & Qualifications

FINRA Series 7FINRA Series 24

Industry Keywords

Wealth ManagementBrokerageAdvisoryVariable AnnuityAlternative InvestmentSuitability ConcernsComplianceField InspectionSupervisory Control ProceduresMunicipal Securities

About the role

Key responsibilities & impact

Conduct back-office reviews and provide firm acceptance of new and existing business submissions
Review brokerage, advisory, variable annuity, and other business lines
Review registered representatives’ trading activity using supervisory control procedures and firm policies
Develop subject-matter expertise across relevant new business lines, platforms, and systems
Determine root causes, develop solutions, and independently resolve matters when appropriate
Implement and manage operational and supervisory procedures
Communicate with registered representatives, agency personnel, Compliance, Field Inspection, and Regional Supervisory Directors
Perform specialized regulatory reviews of securities, including options and municipal securities
Resolve complex issues requiring advanced critical thinking
Provide guidance on suitability concerns and requirements
Identify trends and report risk-mitigation measures to management
Provide operational support and service to Wealth Management advisors

Requirements

What you’ll need

FINRA Series 7 & 24 required at time of application
2+ years MMLIS experience and/or 3+ years experience conducting suitability
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 a MassMutual office will be expected to work a hybrid schedule of 3 days a week in the Springfield office
3+ years MMLIS experience and/or 4+ years experience conducting suitability reviews within the Alternative Investment space
Ability to work in a fast-paced, ever-changing environment
High degree of ownership and sense of urgency
Superior customer service skills
Excellent interpersonal skills and collaborative, self-motivated approach
High aptitude for effective problem resolution
Strong organizational and time-management skills
College degree preferred, with a concentration in business or finance
Passion for business process improvement
Ability to think independently and tactfully challenge others’ opinions

Benefits

Comp & perks

Competitive salaries
Incentive and bonus opportunities
Bonus target or Variable Incentive Compensation component
Industry leading pay and benefits
Access to learning, development, and internal networks
Employee-led communities and forums
Collaborative environment where perspectives are welcomed
Inclusive, vibrant, and diverse culture
Accommodation support for the application process