Suitability Principal

MassMutual

. Conduct back-office review and firm-acceptance of Broker Dealer business submissions, including Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, money movement, transfers, and account maintenance .

Posted 10/28/2026full-timeUnited StatesLead💰 $69,000 - $90,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Broker Dealer business submissions, including compliance with regulatory standards and operational procedures. Proficient in problem resolution, customer service, and effective communication with various stakeholders.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24Brokerage/Advisory Transfer of AssetsOperational Procedures ManagementCustomer Service Skills

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Broker Dealer Business SubmissionsOptions Trading KnowledgeMoney Movement TransactionsSuitability ReviewsIRS RegulationsRetirement Products ExpertiseCritical ThinkingProblem Resolution

Soft Skills

Interpersonal SkillsTeam PlayerSelf-MotivatedOrganizational SkillsTime Management

Tools & Technologies

ICPA360Case ManagerWealthscapeGIACTAccurint/LexusNexusFBSIEnvestnet ENV2

Certifications & Qualifications

FINRA Series 7FINRA Series 24

Industry Keywords

Brokerage AccountsCorporate RIA AccountsOptions Accounts529 PlansFederal Wire DisbursementsInternational Money MovementComplianceRisk Mitigation

About the role

Key responsibilities & impact

Conduct back-office review and firm-acceptance of Broker Dealer business submissions, including Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, money movement, transfers, and account maintenance
Review death- and divorce-related transfers, federal wire disbursements, international money movement, restriction removals, and collateral releases
Process daily transactions by reviewing and approving accuracy, client-instruction alignment, and internal-policy compliance
Work independently and in a team environment to achieve individual and team success
Determine root causes, provide solutions, and resolve matters independently without management supervision
Implement and manage operational and supervisory procedures for the firm
Communicate with registered representatives, agency personnel, Compliance, Field Inspection, and Regional Supervisory Directors
Apply specialized regulatory knowledge regarding Options trading, Municipal Securities, Mutual Fund classifications, and Margin regulations
Resolve complex problems requiring higher-level critical thinking
Identify and report trending issues and risk-mitigation measures to management
Engage with Legal, Compliance, Anti-Money Laundering, Risk, Margin, and National Financial Services personnel
Develop expertise in retirement products, IRS regulations, and banking services/workflows
Temporarily step into another department’s Business Acceptance Consultant role when needed

Requirements

What you’ll need

FINRA Series 7 at time of application
Must obtain FINRA Series 24 within 90 days of hire
2+ years MMLIS experience and/or 3+ years' experience with Brokerage/Advisory Transfer of Assets or 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 the MassMutual Springfield office will be expected to work a Hybrid schedule of 3 days a week in the office
FINRA Series 7 & 24 required at time of application for ideal qualifications
3+ years MMLIS experience and/or 5+ years' experience conducting suitability reviews within the brokerage/advisory space
Extensive working knowledge or ability to learn ICP, A360, Case Manager, Wealthscape, GIACT, Accurint/LexusNexus, FBSI, and Envestnet’s ENV2 platform
Ability to work in a fast paced, ever-changing environment
High degree of ownership and sense of urgency
College degree preferred with a concentration in business or finance
Passion for embracing business process improvement opportunities
High aptitude for effective problem resolution
Must be able to think independently and tactfully challenge the opinions of others
Superior customer service skills
Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style
Strong organizational and time management skills

Benefits

Comp & perks

Competitive salary
Incentive and bonus opportunities
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
Industry leading pay and benefits
Accommodation support for the application process