Suitability Principal

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
• #LI-JLH3
• #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.