Suitability Principal

The Opportunity

MassMutual’s MML Investors Services is seeking a Suitability Principal team lead who can address the needs of our sophisticated financial advisors and their teams. The role centers on managing time-sensitive and frequently escalated cases with poise and professionalism, consistently prioritizing the advisor and client experience. Additional duties include providing routine leadership and guidance for the Society 1851 Wealth Management In Force team, which may involve functions such as Advisory Operations and Cashiering. You will also perform back-office reviews of complex, high-risk brokerage money movement transactions for accounts clearing through National Financial Services. This position requires accountability, agility, and strong business judgment, along with the courage to handle difficult situations. Close collaboration with peer teams across the broker-dealer ecosystem is essential to success. Location: Hybrid remote in Springfield, MA 01103.

The Team

As the Broker-Dealer (BD) and Registered Investment Advisor (RIA) arm of MassMutual’s Wealth Management organization, we have experienced notable growth and continue to prioritize this strategic initiative. To best support expansion, we have segmented service and operations to exclusively assist our top-tier advisors. Branding this effort as Society 1851 Wealth Management, our aim is to grow and retain seasoned advisors through MassMutual agencies nationwide, delivering comprehensive, white-glove service to help them scale their practices. Our culture emphasizes teamwork, sharp business sense, and precise, eloquent communication. The team comprises roughly 20 associates, both FINRA-licensed and unlicensed, who perform daily back-office operations to enhance the advisor experience.

The Impact

The In Force team lead will foster education and readiness in a fast-paced, dynamic environment. You will ensure the team is well positioned to support day-to-day execution of often complex securities transactions while achieving strong individual production results. In addition, you will deliver exceptional service to advisors and their staff and contribute to strategic “Making it Easier” initiatives. The ideal candidate will demonstrate strong communication skills and the ability to learn and adapt, serving as the go-to leader for a talented and evolving team.

The Minimum Qualifications

• FINRA Series 7 and Series 24 required at time of application
• 3+ years of MMLIS experience and/or 4+ years of experience with Brokerage/Money Movement transactions
• High School Diploma, GED, or HiSET
• Principals working 100% remotely may be subject to on-site inspections by MML and/or regulators
• Residents within 50 miles of the MassMutual office are expected to follow a hybrid schedule, working 3 days per week in the Springfield office

The Ideal Qualifications

• More than 5 years of MMLIS experience
• 1+ year of coaching/mentoring experience
• Bachelor’s degree
• Self-starter with the ability to make prudent, risk-based decisions autonomously
• Knowledge of the MassMutual career agency system and sales processes
• Capability to quickly establish credibility and build strong relationships with internal and external stakeholders
• Superior written and verbal communication skills
• Proven ability to coach and mentor others effectively
• Record of delivering high-quality results on time while multitasking and adapting to changing business needs
• Strong ownership mindset, meticulous attention to detail, and commitment to continuous improvement
• Solid understanding of BD/RIA operational platforms and workflows
• Up-to-date awareness of industry rules and regulations

What to Expect as Part of MassMutual and the Team

Regular meetings with the MMLIS In-Force Operations Team and focused one-on-one discussions with your manager. This structure supports ongoing collaboration and professional development within the team.