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Suitability Review Principal Jobs (NOW HIRING)

Primerica, Inc.

Trade Principal 1

Duluth, GA · On-site

$53K - $55K/yr

About this Position The ISP Trade Principal 1 specializes in the suitability review of all Lifetime ... Reviews and analyzes trades to determine proper suitability based on the extensive knowledge of the ...

Primerica

Trade Principal 1

Duluth, GA · Hybrid

$53K - $55K/yr

About this Position The ISP Trade Principal 1 specializes in the suitability review of all Lifetime ... Reviews and analyzes trades to determine proper suitability based on the extensive knowledge of the ...

FAVARH

As a Principal Review Supervisor, you will play a critical role in safeguarding the firm and ... Conduct detailed account reviews to identify potential sales practice concerns, suitability issues ...

FAVARH

As a Principal Review Supervisor, you will play a critical role in safeguarding the firm and ... Conduct detailed account reviews to identify potential sales practice concerns, suitability issues ...

FAVARH

Principal Review Supervisor

Florida, NY · On-site

As a Principal Review Supervisor, you will play a critical role in safeguarding the firm and ... Conduct detailed account reviews to identify potential sales practice concerns, suitability issues ...

FAVARH

Principal Review Supervisor

Yuma, AZ · On-site

As a Principal Review Supervisor, you will play a critical role in safeguarding the firm and ... Conduct detailed account reviews to identify potential sales practice concerns, suitability issues ...

Osaic

Sales Supervision Principal

La Vista, NE · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Advisor Group

Sales Supervision Principal

Scottsdale, AZ · On-site

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Atlanta, GA · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Scottsdale, AZ · On-site

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Petersburg, VA · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Scottsdale, AZ · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Oakdale, MN · On-site

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

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Suitability Review Principal information

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$36.5K

$109.4K

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How much do suitability review principal jobs pay per year?

As of Aug 22, 2026, the average yearly pay for suitability review principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

What is a suitability review principal?

A Suitability Review Principal is a financial professional responsible for overseeing and ensuring that investment recommendations made by financial advisors comply with regulatory standards and are appropriate for clients' specific financial situations. They review client profiles, investment objectives, and transaction documentation to ensure that all recommendations align with the clients’ needs, risk tolerance, and regulatory requirements. This role is crucial in maintaining firm compliance with FINRA and SEC regulations, and protecting clients from unsuitable investment products. Suitability Review Principals often work within broker-dealers or financial advisory firms and play a key part in risk management and regulatory compliance.

What are the main challenges a suitability review principal faces when balancing regulatory compliance with client needs?

A Suitability Review Principal often encounters the challenge of ensuring that all client recommendations strictly adhere to complex regulatory standards while also meeting the unique financial objectives of each client. This requires staying up-to-date with evolving industry regulations, conducting thorough reviews of client profiles and transaction documentation, and collaborating closely with advisors to resolve discrepancies. Balancing robust compliance oversight with practical, client-focused solutions is critical, and often involves making nuanced decisions under tight deadlines. Successful Suitability Review Principals leverage strong analytical and communication skills to navigate these demands and foster a culture of ethical decision-making within their teams.

What are the key skills and qualifications needed to thrive as a suitability review principal, and why are they important?

To thrive as a Suitability Review Principal, you need in-depth knowledge of FINRA/SEC regulations, investment products, and risk assessment, typically supported by relevant securities licenses such as Series 24 and Series 7. Familiarity with compliance monitoring systems, trade surveillance platforms, and regulatory reporting tools is essential. Strong attention to detail, ethical judgment, and effective communication are crucial soft skills for evaluating transactions and collaborating with advisors. These competencies ensure adherence to regulatory standards, protect clients, and mitigate organizational risk in the financial services industry.

What is the difference between Suitability Review Principal vs Compliance Analyst?

AspectSuitability Review PrincipalCompliance Analyst
Required CredentialsFINRA licenses, industry-specific certificationsRegulatory or industry certifications, sometimes FINRA licenses
Work EnvironmentFinancial firms, regulatory agencies, compliance departmentsFinancial institutions, consulting firms, regulatory bodies
Employer & Industry UsageCommonly employed in securities and investment firmsUsed across finance, banking, and regulatory sectors
Search & Comparison IntentUnderstanding roles in suitability reviews and compliance processesAssessing compliance functions and regulatory adherence

The Suitability Review Principal primarily focuses on evaluating client suitability and ensuring investment recommendations meet regulatory standards within financial firms. Compliance Analysts support broader regulatory adherence, often handling policies, audits, and risk assessments. While both roles require regulatory knowledge and certifications, the Suitability Review Principal specializes in client suitability reviews, making it a more targeted position within the compliance landscape.

What cities are hiring for Suitability Review Principal jobs?

Cities with the most Suitability Review Principal job openings:

What states have the most Suitability Review Principal jobs?

States with the most job openings for Suitability Review Principal jobs include:

What job categories do people searching Suitability Review Principal jobs look for?

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Suitability Review Principal jobs near you
Infographic showing various Suitability Review Principal job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 82% Full Time, 13% Part Time, 3% Contract, and 1% Nights. Highlights an 89% Physical, 3% Hybrid, and 8% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Suitability Principal

Massachusetts Mutual Life Insurance Company (MassMutual)

Springfield, MA • On-site, Remote

Full-time

Re-posted yesterday

MassMutual rating

7.8

Company rating: 7.8 out of 10

Based on 37 frontline employees who took The Breakroom Quiz

196th of 311 rated insurance

Job description

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

#LI-SB1
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.

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