Suitability Principal (Transfer of Assets)

The Opportunity

Step into a high-impact role where you’ll serve as a key decision-maker for firm acceptance and suitability across brokerage and advisory business. As a Suitability Principal, you’ll review complex in-force transactions, guide stakeholders on best interest standards, and play a critical role in ensuring compliance, risk management, and a seamless client experience. This is an opportunity to leverage your expertise while influencing firm-wide practices and outcomes.

The Team

You’ll join the MMLIS Transfer of Assets (TOA) and Inforce Operations team, a collaborative, high-performing group that partners closely with Compliance, Field Leadership, Advisory, Trading, and National Financial Services (NFS).

The team is known for:

• Delivering best-in-class operational and regulatory support
• Providing guidance and education to field representatives
• Encouraging cross-training, collaboration, and continuous development
• Driving consistency and efficiency across complex financial operations

The Impact

In this role, you’ll make a meaningful impact by:

• Acting as a trusted advisor and escalation point for complex, high-risk transactions and suitability decisions
• Reviewing and approving brokerage, advisory, and transfer activity with a strong focus on compliance, accuracy, and risk mitigation
• Partnering with internal and field stakeholders to resolve issues, provide guidance, and improve decision quality
• Identifying trends and recommending solutions to enhance processes, reduce risk, and improve ease of doing business
• Applying critical thinking and regulatory expertise to solve complex challenges and drive consistent outcomes

The Minimum Qualifications

• FINRA Series 7 & 24 required at time of application
• 3+ years MMLIS experience and / or 5+ years experience with Brokerage/Advisory Transfer of Assets or Money Movement transactions
• High School Diploma/GED/HiSET
• Comfortability/ability to work 9-5:30 and/or 9:30-6
• 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

• 5+ years within MMLIS or 8+ years supporting brokerage/advisory operations, with deep expertise in Transfer of Assets, money movement, and suitability review
• Bachelor’s degree
• Hands-on experience with platforms such as NFS Account Opening, Envestnet (ENV2), A360, Case Manager, Streetscape, and Fidelity systems
• Strong understanding of brokerage/advisory structures, managed accounts, options, and regulatory risk frameworks
• Proven ability to make high-impact, independent decisions and influence stakeholders, including senior field and compliance partners
• Problem Solving & Ownership: Demonstrated track record of resolving complex issues, driving process improvements, and taking full ownership of outcomes
• Excellent interpersonal and communication skills with the ability to translate complex risk concepts into clear guidance
• Highly organized, adaptable, and able to thrive in a fast-paced, evolving environment with a strong sense of urgency
• Experience contributing to policy refinement, risk mitigation, and cross-functional initiatives, with a passion for continuous improvement

Salary Range:

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.

Originally posted on Himalayas