The Opportunity
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.
The Team
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.
The Impact
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
- 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 MassMutual 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 preferred with a concentration in business or finance.
- Passion for embracing business process improvement opportunities.
- High aptitude for effective problem resolution.
- Must be able 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:
- 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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#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.
