Mutual Opportunities
Suitability Principal
Remote - US
Thank you to our employees for voting us one of the top places to work in Massachusetts for seven consecutive years!
Overview
A career with us means you’ll work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are at the foundation of what enables MassMutual to deliver on our purpose to help people secure their futures and protect the ones they love.
We embrace the idea that we all are stronger and better through our support for one another. We strive to create a culture where employees feel valued and are celebrated for who they are.
“Since our founding in 1851, mutuality has put our policyowners at the center of everything we do. At our core, we’re a company of people helping people in their time of need, and that spirit extends to the culture we’ve built at our company. Our employees support and rely on each other each day, collaborating to deliver the best solutions for our customers and help millions more secure their future and protect the ones they love.”
Job Description
The Opportunity
As a Suitability Principal, you’ll be a trusted partner in reviewing and firm-accepting in‑force Account Maintenance submissions across Brokerage, Direct, Advisory, and Third‑Party Advisory accounts. You’ll also have opportunities to support Brokerage and Advisory Transfers of Assets and Money Movement requests, helping ensure Business Acceptance, Suitability, and Best Interest standards are met while maintaining a strong advisor and client experience.
The Team
MML Investors Services (MMLIS) Account maintenance department reviews and updates books and records for Direct business and reviews and processes all brokerage, National Financial Services (NFS) account maintenance items. The team reviews internal and external paperwork and provides exceptional customer service to the field while solving complex issues. We provide guidance and education to field reps on requirements and regulations regarding Account Maintenance and communicate frequently with National Financial Services and outside firms. The team also works closely with the Cashiering, Advisory, New Business and Trading teams within MMLIS.
The Impact
- Conduct back-office review and firm-acceptance of new and existing Account Maintenance submissions for Brokerage, Direct, Advisory, and Third‑Party Advisory accounts, with opportunities to assist on Transfers of Assets and Money Movement requests as needed.
- Identifying root causes, recommending thoughtful solutions, and resolving matters independently when appropriate, while knowing when collaboration adds value.
- Supporting the implementation and ongoing management of operational and supervisory procedures that help the firm operate effectively and responsibly.
- Communicating clearly and professionally with registered representatives, agency personnel, and internal partners such as Compliance, Field Inspection, and Regional Supervisory Directors. Some reviews may involve specialized regulatory considerations, including Options trading and Municipal Securities.
- Partnering with registered representatives, Agency Supervisory Officers, and Regional Supervisory Directors to provide guidance on suitability considerations and supervisory guidelines.
- Proactively identifying trends and potential risks and sharing insights with leadership to support continuous improvement and risk mitigation.
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
- 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
- Regular meetings with the Elite Services team
- Focused one-on-one meetings with your manager
- Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, 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-REMOTE
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.
California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
MassMutual will accept applications on an ongoing basis until such time as a candidate has been offered employment. The job description includes the main duties of this position, which may evolve over time. You may be required to perform other duties not listed.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment.
Salary Range: $69,000-$90,500
Hiring Process
Explore
Explore our open jobs by clicking 'search jobs' to find a position that aligns with your experience and skills. You may also consider joining our Talent Network.
Apply
Click the “apply” button on that job posting to complete and submit your application. Your application will be reviewed by a recruiter, which, due to the volume of applications received, may take some time as we carefully consider each application.
Screen
After your application has been reviewed, if you meet the qualifications for the role, a recruiter will reach out to you to start a conversation.
Interview
If you are invited for an interview, you will be scheduled to meet with the hiring manager and hiring team.
Offer
If you are extended an offer to join MassMutual and accept, your start will be contingent upon a satisfactory background check.
Hire
If you accept the offer, we will be so excited to welcome you to the MassMutual community!
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
By the numbers*
- 85% of employee respondents say they are proud to work at MassMutual
-
90
% of employee respondents say the work they do at MassMutual is meaningful - 85% of employee respondents say they feel encouraged to come up with new and better ways of doing things
*Source: 2025 MassMutual employee engagement survey
Award-Winning Culture
MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company operated for the benefit of our members and participating policyowners, we are defined by mutuality and our vision to provide financial well-being for all Americans. 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.
We strive to build a thriving community where everyone is valued, included, and feels that they belong.
At MassMutual, we Live Mutual.
How We Work
MassMutual’s flexible workplace approach combines the importance of connecting in person and the flexibility of working remotely. Our hybrid model puts collaboration first with employees coming in at least three days per week to our spectacular campus settings and also enjoying the flexibility of remote Fridays, company-wide remote weeks, and a bank of flexible remote weeks to use throughout the year.
Benefits for the whole you (and your loved ones)
There’s more to your life than your job and there’s more to your aspirations than a paycheck. We take a holistic view of compensation and benefits that provides the flexibility to create a healthy balance in your life for work, family, and community. We offer the benefits you’d expect, like medical, dental, 401(k), and generous vacation time, but we also offer ones you might not expect, like three paid days for volunteering, a $1,250 annual Well-Being Wallet, and up to 320 hours of caregiver leave.
Explore some of our offerings below. Benefit details can be found here.
Why MassMutual?
Candy
Marketing Consultant
Atsam
Head of Advisor/Client Experience & Business Excellence
Erica
Head of Procurement
where we work
Springfield Office
1295 State Street, Springfield, MA
Boston Office
10 Fan Pier Blvd, Boston, MA
New York Office
2 Park Ave,
New York, NY
Virtual
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