Suitability Principal - Phoenix - MassMutual

    MassMutual
    MassMutual Phoenix

    3 hours ago

    Description
    The Opportunity
    As a

    Business Acceptance Consultant Lead

    you will conduct back-office review and firm-acceptance of Inforce business submissions related to Brokerage, Direct and Third-Party Advisory accounts. Additionally, it is expected that you will assist when needed with Brokerage/Advisory Transfer of Assets and Money Movement items for Business Acceptance, Suitability and Best Interest requirements
    The Team

    The MML Investors Services (MMLIS)

    Inforce TOA/Check Deposit team

    resides within the Transfer of assets department.

    The main responsibility of this space is to review and process brokerage client check deposits in a timely manner with a detailed focus on regulatory requirements.

    We provide guidance and education to field reps on requirements and regulations regarding money movement and communicate frequently with National Financial Services.

    The team also works closely with the Cashiering, Transfer of Assets, Advisory, New Business and Trading teams within MMLIS. In MMLIS Operations - Cross training among various areas of MMLIS Operations is expected and highly encouraged.
    The Impact

    As a Business Acceptance Consultant you will effectively communicate with registered representatives, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors and provide guidance on suitability concerns and guidelines.


    Key Responsibilities Include:
    Conduct back-office review and firm-acceptance of Inforce Account Maintenance business submissions related to Brokerage, Direct and Third-Party Advisory accounts.

    Additionally, it is expected that you will assist when needed with Brokerage/Advisory Transfer of Assets and Money Movement items for Business Acceptance, Suitability and Best Interest requirements .

    Review trading activity of registered representatives through supervisory control procedures and application of firm policies and procedures and will require the associate to eventually become a subject matter expert for all previously referenced lines of Inforce Business, including a solid understanding of our platforms and systems.

    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 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 daily in complex problem resolution requiring higher level critical thinking.
    Consult with registered representatives, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines.
    Consistently identify and report to management on trending and risk mitigation measures.
    The Minimum Qualifications
    FINRA Series 7 & 24 required at time of application
    3+ years MMLIS experience and / or 5+ years experience with Brokerage/Advisory Transfer of Assets or Money Movement transactions
    High School Diploma/GED/HiSET
    The Ideal Qualifications
    5+ years MMLIS experience and / or 8+ years experience with Brokerage/Advisory Transfer of Assets or Money Movement transactions
    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 MMLIS In-Force 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
    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.

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