Job Description

Do you want to be part of a team that encourages your growth, supports your ambitions and makes it a priority for you to reach your goals? Is helping people part of who you are? At MassMutual, we help millions of people find financial freedom, offer financial protection and plan for the future. We do this by building trust with our customers by being knowledgeable problem solvers and prioritize their needs above all else. We Live Mutual.

Description



The Opportunity

As a New Business Suitability Consultant you will conduct back-office review and firm-acceptance of Broker Dealer New Business submissions, and demonstrate a strong penchant for leadership and coaching. 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 Team

The MML Investors Services, LLC New Business West Region Team is comprised of highly skilled, financial services professionals who render collaborative compliance solutions to our Financial Advisors. Team members demonstrate high levels of competence in the areas of resilience, accountability, agility, and are focused on continuous improvement and development. The team culture is collaborative, cross-functional, and fosters high performance results with an emphasis on encouraging a healthy work/life balance. We seek to provide best-in-class service to sophisticated Advisors as they provide their clients with a holistic suite of wealth management products and solutions.

The Impact

As New Business Suitability Consultant you will serve as the subject matter expert, team lead, and liaison between other registered principals and the management staff and you will oversee daily operations in the absence of the department Director. Additionally, you must possess strong subject matter expertise in the area of annuity suitability and new business operations, and determine root cause of issues, provide solutions, and resolve matters independently without management supervision.

Key responsibilities will include:

* Conduct back-office review and firm-acceptance of Broker Dealer New Business submissions including Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, Annuities, and Variable Life submissions for Business Acceptance, Suitability Review trading activity of registered representatives through supervisory control procedures and application of firm policies and procedures, and may require associate to become subject matter expert for annuity suitability and new business operations, including a solid understanding of our platforms and systems.

* Determine root cause of issues, provide solutions, and resolve matters independently without management supervision.

* Implementation and management of operational and supervisory procedures for the firm.

* Ability to effectively communicate with registered representatives, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors. Specialized regulatory review of securities such as Options trading and Municipal Securities may be required. Involved on a daily basis in complex problem resolution requiring higher level critical thinking.

* Consistently identify and report to management on trending and risk mitigation measures. FINRA Licenses as required.

The Minimum QUALIFICATIONS

* FINRA Series 7 & 24 required at time of application.

* FINRA Series 4 and 53 to be obtained within one year (If the Series 7 was obtained after 11/7/2011 the Series 52 is then a prerequisite for the Series 53).

* 5+ years MMLIS experience or 10 years equivalent industry experience.

* Proven leadership abilities, with emphasis on employee professional development.

* Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style.

* Ability to work in a fast paced, ever changing environment.

* High degree of ownership and sense of urgency.

* Superior customer service skills.

What to Expect as Part of MassMutual and the Team

* Regular meetings with the MMLIS New Business West Region Team.

* Focused one-on-one meetings with your manager.

* Access to mentorship opportunities.

* 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.

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Why Join Us.

Weve been around since 1851. During our history, weve 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.

Recognized as a 2019 Worlds Most Ethical Company by Ethisphere, MassMutual is guided by a single purpose: 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. Its more than our company structure its 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 Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.