Position Details

Salary $69K – $90K USD / year

Type Not Specified

Experience mid

Exp. Years Not specified

Education High School Diploma or equivalent

Category Finance & Accounting

About this role

Suitability Principal conducts back-office review and firm acceptance of new business and suitability reviews for brokerage/advisory accounts within MassMutual’s wealth management team.

Key Responsibilities

Back-office review of submissions
Review trading activity
Root cause analysis and problem resolution
Implement supervisory procedures
Communicate with Compliance and leadership

Technical Overview

Emphasis on regulatory compliance, supervisory controls, and suitability processes; uses brokerage platforms and data analysis to mitigate risk.

Ideal Candidate

The ideal candidate is a mid-level compliance professional with FINRA Series 7 and 24 and experience in suitability reviews for brokerage/advisory accounts; strong regulatory knowledge and client communication are essential.

Must-Have Skills

FINRA Series 7FINRA Series 24High School Diploma or equivalent1+ year MMLIS experience conducting suitability reviews OR 2+ years' financial services experience within the brokerage/advisory space

Nice-to-Have Skills

FINRA Series 4FINRA Series 53Superior customer serviceExcellent interpersonal skillsStrong organizational and time management skills

Required Skills

FINRA Series 7FINRA Series 24Suitability reviewsBrokerage complianceRegistered representativesSupervisory control proceduresRisk mitigationData analysisProblem solving

Hard Skills

FINRA Series 7FINRA Series 24Suitability reviewsBrokerage complianceRegistered representativesSupervisory control proceduresRisk mitigationData analysisProblem solving

Soft Skills

Customer serviceInterpersonal skillsTeam playerCommunicationTime management

Certifications

Required

FINRA Series 7FINRA Series 24

Preferred

FINRA Series 4FINRA Series 53

Industry & Role

Industry Insurance

Job Function Back-office governance and suitability review for new business in MassMutual's wealth management channel

Role Subtype Compliance Analyst

Keywords for Your Resume

Suitability PrincipalMassMutualMML Investors ServicesNFSNew Businessbrokerageadvisoryregistered representativesFINRA Series 7FINRA Series 24suitability reviewsbrokerage complianceon-sitehybridsuitability principalfinra series 7finra series 24mml investors servicesnational financial serviceshigh school diploma

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