Finra Series 4 Jobs in Indiana (NOW HIRING)

The Opportunity:

As a Suitability Principal you will conduct suitability reviews on variable annuities across multiple carriers, both brokage and advisory accounts clearing through National Financial Services (NFS) and other directly held business including third-party advisory and mutual fund accounts. In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, business acumen, and commitment to inclusivity while navigating complex situations with confidence and integrity. Success in this position also requires strong communication skills, leadership traits, resilience, self-awareness, and a passion for continuous learning and professional growth.

The Team:

The MML Investors Services (MMLIS) New Business Team provides operational support and service to our Wealth Management advisors. We process and review all of their new business submissions. Our strategy includes both growing and retaining our advisor population across the country and supporting them with operational excellence that is laser focused on the ease of doing business.

The Impact:

In this role, you will help protect clients, advisors, and the firm by ensuring all submissions including brokerage, advisory, and variable annuity business aligns with regulatory requirements, suitability standards, and firm policies. Through risk identification, supervisory oversight, and expert consultation, you will drive sound business decisions, support compliant growth, and strengthen the firm's risk management framework while serving as a trusted partner to advisors, compliance teams, and business leaders.

Key responsibilities include, but are not limited to:

• Conduct back-office review and acceptance of new submissions of variable annuities, brokerage, advisory, and direct investments including mutual fund accounts and third-party advisory accounts which will require the associate to become a subject matter expert on all lines of business, including familiarity with all of the products offered on our platform. This includes complex problem resolution requiring a high level of critical thinking utilizing a solid understanding of our platforms and systems.

• Monitor potential trends of registered representatives through the application of firm policies and procedures. This includes identifying and reporting to management on trending and risk mitigation measures.

• Determine root cause of issues, provide solutions, and resolve matters independently without constant management intervention.

• Be an integral part of implementation and management of operational and supervisory procedures for the firm.

• Effectively communicate with colleagues within the department along with internal business partners such as Compliance, Licensing, Product, and our In-Force counterparts.

• Consult with registered representatives and their staff, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines.

• Conduct specialized regulatory reviews including Municipal Securities such as 529s as well as Options approval as licensing permits.

The Minimum Qualifications:

• FINRA Series 7 & 24 at time of application

• 1+ years of MMLIS experience OR 2+ years of experience in broker-dealer supervision, compliance, risk management, new business review, trade surveillance, registered representative support, or securities operations

• 2+ years experience interpreting and applying FINRA, SEC, and firm policies to evaluate transactions, account activity, or new business submissions

• 2+ years demonstrated ability to identify risks, investigate issues, analyze complex situations, and make sound business decisions

• High School Diploma 

• All FINRA registered individuals working remote and/or hybrid schedules are subject to either remote or on-site inspections according to a location risk assessment.

• Candidates residing within 50 miles of the MassMutual Springfield office will be expected to work a Hybrid schedule of 3 days a week in the office 

The Ideal Qualifications:

• 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 with a concentration in business or finance.

• Passion for embracing business process improvement opportunities.

• High aptitude for effective problem resolution.

• Ability to think independently and tactfully challenge the opinions of others.

What to Expect as Part of MassMutual and the Team:

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:

• Focused one-on-one meetings with your manager

• Regular meetings with the New Business Team

• 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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