Suitability Principal

The OpportunityAs an Inforce Advisory Operations Business Acceptance Consultant you will conduct back-office review and firm-acceptance of new and existing advisory and account maintenance submissions. You will be largely engaged in trade look back reviews as it relates to asset movement into an on-platform advisory account. In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We also highly value strong communication skills, a passion for learning, leadership traits, resilience, and self-awareness.The TeamThe MML Investors Services Inforce Advisory Operations Team provides operational support and service to our Wealth Management advisors. The team assists with advisory new business in addition to facilitating post new account functions in the investment advisory space. Our strategy includes growing our on platform advisory business while providing excellent service to our field partners. We partner closely with all Service and Operations areas within MMLIS including MMLIS Product, MMFA leadership, Legal, and Compliance, to ensure we are delivering desired products and service in the most efficient, compliant manner.The ImpactAs an Inforce Advisory Operations Business Acceptance Consultant, you will serve as a key liaison to advisors, agency personnel, and internal business partners-including Compliance, Legal, Field Inspection, and Regional Supervisory Directors-by providing clear, authoritative guidance on policy adherence, operational concerns, and established guidelines.Key Responsibilities include but limited to:Handles the suitability and completeness review for advisory new account and maintenance transactions such as, new account SIS reviews, account retitling requests, option setup/maintenance, strategy modifications for managed accounts, alternative investment account setup/maintenance, and various other advisory maintenance requests.Conducts complex fee forgiveness research, including trading activity and commission look backs.Monitors and takes action on assigned queues in a timely manner to maintain cycle time goals.Determine root cause of issues, provide solutions, and resolve matters independently without management supervision at times.Implementation and management of operational and supervisory procedures for the firm.Ability to effectively communicate with advisors, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors.Consistently identify and report to management on trending and risk mitigation measures.Remains current with industry trends and changes and shares knowledge with team members.Provides active engagement in ease of doing business initiatives, including policy and procedure review, form review, and maintaining up to date training programs related to advisory business.The Minimum QualificationsFINRA Series 7 and 24 required at time of application3+ years MMLIS experience and / or 4+ financial services experience within the brokerage/advisory spaceHigh School Diploma or equivalentPrincipals 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 officeThe Ideal QualificationsCollege degree preferred with a concentration in business or finance.4+ years financial services industry experienceSuperior customer service skills.Excellent interpersonal skills; team player, self-motivated; patient demeanor.High aptitude for effective problem resolution.Strong organizational and time management skills are essentialAbility to work in a fast paced, ever changing environment.Advisory product and operations experience.Experience with Envestnet platform.High degree of ownership and sense of urgency.Passion for embracing business process improvement opportunities.Must be able to think independently and tactfully challenge the opinions of others.What to Expect as Part of MassMutual and the Team* Regular meetings with the Inforce Advisory Operations Team* Focused one-on-one meetings with your manager* Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran, and disability-focused Business Resource Groups* Access to learning content on Degreed and other informational platforms* Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits#LI-DK1#LI-REMOTESalary Range:$84,100-$110,300At 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.