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Broker Dealer Principal
SPRINGFIELD MA 01139
Category: Insurance
  • Your pay will be discussed at your interview

Job code: lhw-e0-89812765

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MassMutual Financial Group

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  Job posted:   Fri May 18, 2018
  Distance to work:   ? miles
       
  3 Views, 0 Applications  
 
Broker Dealer Principal

Since 1851, MassMutual's commitment has always been to help people protect their families, support their communities, and help one another. This is why we want to inspire people to Live Mutual. We at MassMutual value diversity and inclusion. We're people helping people.
A career with us means you will work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are the foundation of what makes MassMutual a strong, stable and ethical business. We seek and value unique and varied perspectives and experiences because we believe we are stronger when all voices are heard. We invite you to bring your bright, innovative ideas to MassMutual as we continue to help millions of Americans rely on each other.
Together, we're stronger.
**Description**

Job Description


POSITION SUMMARY


Conduct back-office review and firm-acceptance of New Business submissions including Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, Annuities, options 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.


RESPONSIBILITIES


oImplementation and management of operational and supervisory procedures for the firm.

oMust demonstrate ability to effectively communicate with registered representatives, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors.

oSpecialized regulatory review of securities such as options trading and municipal securities may be required.

oInvolved on a daily basis in complex problem resolution requiring higher level critical thinking.

oConsult with registered representatives, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines.

oConsistently identify and report to management on trending and risk mitigation measures.


QUALIFICATIONS


oSeries 7 Required; 24 preferred or obtain within 90 days of hire

oAuthorized to work in the United States without sponsorship now or in the future


Ranked No. 77 in the annual FORTUNE ® 500 Ranking (FORTUNE ® Magazine, June 2017) and recognized as a World's 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. 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. At MassMutual, we Live Mutual.


**CORE VALUES**


**Focus on the Customer:** We understand our customers well and look for every opportunity to deliver an experience that is clear, easy, personal, human, empowering and trustworthy.


**Act with Integrity:** We deliver on our promises by being open, honest and humble and by adhering to the letter and spirit of applicable laws, rules, regulations and company policies.


**Value People:** We respect and learn from each other's diverse backgrounds, experiences and ideas. We engage and develop people to their greatest potential.


**Work Collaboratively:** We work together to achieve results by actively listening, seeking, understanding and creating solutions as a unified team driving toward one company, one culture, one brand.


**Achieve Results:** We focus on winning by exceeding expectations and getting better - everyone, every day.


For more information, visit www.massmutual.com or find us on Facebook, Twitter, LinkedIn, YouTube, Google+, Instagram and Pinterest.


_MassMutual is an Equal Employment Opportunity employer_ _Minority/Female/Sexual_ _Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply._


At MassMutual, we're fostering an inclusive and dynamic environment where our employees are valued for who they are and can build successful careers. For us, diversity and inclusion is more than a goal, it's the only way forward.


o 100% rating on the Human Rights Campaign Corporate Equality Index (2018)

o National Association for Female Executives Top Company for Executive Women (2017)

o DiversityInc Noteworthy Company (2017)

o Disability Equality Index® (DEI) Best Place to Work for Disability inclusion (2017)

o Working Mother Media 100 Best Company (2017)

o Military Friendly Employer (2018)

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