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Regulatory Compliance Specialist Financial Services Financial Consultant Financial Compliance

Remote Suitability Principal – Compliance & Advisory Ops

Remote / Online - Candidates ideally in
Houston, Harris County, Texas, 77246, USA
Listing for: MassMutual
Remote/Work from Home position
Listed on 2025-12-08
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services, Financial Consultant, Financial Compliance
Salary/Wage Range or Industry Benchmark: 80000 - 100000 USD Yearly USD 80000.00 100000.00 YEAR
Job Description & How to Apply Below
A leading financial services provider is seeking a Suitability Principal in Houston. This role involves reviewing high-risk brokerage transactions, ensuring compliance, and providing exceptional service to financial advisors. The ideal candidate has FINRA Series 7 & 24, with at least 2 years of relevant experience. Join a collaborative team dedicated to empowering advisors to enhance their practices within a dynamic environment.

A hybrid work structure is expected for candidates residing near the office, offering competitive compensation and extensive benefits.
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