Suitability Principal

The Opportunity
As a Suitability Principal, you will conduct back-office reviews and provide firm acceptance of new business submissions, as well as suitability reviews for accounts clearing through National Financial Services (NFS) as well as accounts held directly with various sponsors/carriers. In this role—and in all roles at MassMutual—you will demonstrate accountability, agility, inclusivity, business acumen, and courage, even in difficult situations. We also highly value strong communication skills, a passion for learning, leadership, resilience, and self-awareness.
The Team
The MML Investor Services (MMLIS) Society1851 Wealth Management Team provides white-glove, concierge-level operational support and service to our top-tier Wealth Management advisors. We review and process all MMLIS new business for these advisors and facilitate most post-account-opening functions. Our strategy is to grow and retain our most successful and influential advisor population nationwide by providing an operational experience that is laser-focused on making it easy to do business with us. We provide tailored telephone support and partner closely with all Service and Operations areas within MMLIS, including MMLIS Product, MMFA Leadership, Legal, and Compliance.
Key Responsibilities Include but no limited to:
Conduct back-office reviews and provide firm acceptance of new and existing submissions related to primarily: brokerage, advisory, variable annuity, and to a lesser extent various other lines
Review registered representatives’ trading activity by applying supervisory control procedures and firm policies. Develop subject-matter expertise across the new business lines referenced above, including a solid understanding of the firm’s platforms and systems.
Determine the root causes of issues, develop solutions, and, when appropriate, resolve matters independently without management supervision
Implement and manage the firm’s operational and supervisory procedures
Communicate effectively with registered representatives, agency personnel, and internal business partners, including Compliance, Field Inspection, and Regional Supervisory Directors. Perform specialized regulatory reviews of securities, such as options and municipal securities, as needed.
Resolve complex issues that require advanced critical thinking.
Consult with registered representatives, Agency Supervisory Officers, and Regional Supervisory Directors, providing guidance on suitability concerns and requirements
Consistently identify trends and report risk-mitigation measures to management.
The Minimum Qualifications
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 MassMutual office will be expected to work a Hybrid schedule of 3 days a week in the Springfield office
The Ideal Qualifications
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; a collaborative, self-motivated approach; patience; and an approachable style
High aptitude for effective problem resolution
Strong organizational and time-management skills
College degree preferred, with a concentration in business or finance
Passion for embracing business process improvement opportunities
Must be able to think independently and tactfully challenge the opinions of others
What You Can Expect at MassMutual
MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes. In this role, you can expect:
Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes
A collaborative environment where perspectives are welcomed
Access to learning, development, and internal networks that support continuous growth and skill-building over time
Employee-led communities and forums that foster connection, learning, and inclusion across the organization
A culture grounded in integrity, responsibility, and stewardship—supported by a company with a strong legacy and a future-focused mindset
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#LI-REMOTE
Salary Range:
$69,000-$90,500
At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.
Why Join Us.
We’ve been around since 1851. During our history, we’ve learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard.
We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It’s more than our company structure – it’s our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.
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.
At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.