Job Description
The Opportunity Step into a high-impact role where you’ll serve as a key decision-maker for firm acceptance and suitability across brokerage and advisory business. As a Suitability Principal, you’ll review complex in-force transactions, guide stakeholders on best interest standards, and play a critical role in ensuring compliance, risk management, and a seamless client experience. This is an opportunity to leverage your expertise while influencing firm-wide practices and outcomes. The Team You’ll join the MMLIS Transfer of Assets (TOA) and Inforce Operations team, a collaborative, high-performing group that partners closely with Compliance, Field Leadership, Advisory, Trading, and National Financial Services (NFS). The team is known for: Delivering best-in-class operational and regulatory support Providing guidance and education to field representatives Encouraging cross-training, collaboration, and continuous development Driving consistency and efficiency across complex financial operations The Impact In this role, you’ll make a meaningful impact by: Acting as a trusted advisor and escalation point for complex, high-risk transactions and suitability decisions Reviewing and approving brokerage, advisory, and transfer activity with a strong focus on compliance, accuracy, and risk mitigation Partnering with internal and field stakeholders to resolve issues, provide guidance, and improve decision quality Identifying trends and recommending solutions to enhance processes, reduce risk, and improve ease of doing business Applying critical thinking and regulatory expertise to solve complex challenges and drive consistent outcomes 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 Comfortability/ability to work 9-5:30 and/or 9:30-6 Principals working 100% remotely may be subject to on-site
