Suitability Principal

Suitability Principal

As a Suitability Principal within the Transfer of Assets (TOA) and Inforce Operations team, you will play a critical role in safeguarding the firm by independently reviewing and approving asset movement activity across brokerage and advisory accounts. Acting as a key decision-maker, you will ensure all transactions align with suitability, best interest, and regulatory standards while applying sound judgment to complex or high-risk scenarios.

This role offers the opportunity to directly influence business outcomes, mitigate risk, and enhance the overall advisor and client experience.

You will join the MML Investors Services (MMLIS) TOA team, a highly collaborative group that partners closely with Financial Advisors, Agency leadership, Compliance, Field Inspection, and internal business partners across Cashiering, Advisory, and Trading. The team is responsible for facilitating the accurate and compliant movement of client assets while providing guidance, education, and problem resolution to the field in a fast-paced, service-oriented environment.

In this role, you will drive the quality and integrity of business accepted by the firm by identifying risks, reducing NIGO items, and improving operational efficiency. You will analyze trends, uncover root causes of recurring issues, and recommend solutions that strengthen controls and processes. Through your expertise and collaboration, you will help protect clients, support advisors, and contribute to continuous improvement across the organization.

The minimum qualifications include:

• FINRA Series 7 & 24 required at time of application
• 2+ years of MMLIS experience and/or 3+ years of experience within the brokerage/advisory space
• Comfortability/ability to work 9-5:30 and/or 9:30-6
• High School Diploma or equivalent
• Principals working 100% remotely may be subject to on-site inspection by MML and/or regulators
• Candidates residing within 50 miles of Mass Mutual office will be expected to work a Hybrid schedule of 3 days a week in the office

The ideal qualifications include:

• 3+ years' experience conducting suitability reviews
• FINRA Series 4 and 53
• Superior customer service skills.
• Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style.
• High aptitude for effective problem resolution.
• Strong organizational and time management skills are essential
• 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.
• Must be able to think independently and tactfully challenge the opinions of others.

Mass Mutual 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

Salary Range: $69,000-$90,500

At Mass Mutual, 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.