Suitability Principal
- Conduct back-office reviews of complex brokerage transactions
- Deliver education and readiness in a rapidly evolving environment
- Provide exceptional service to advisors and their staff
- Contribute to strategic initiatives that simplify processes and enhance efficiency
- FINRA Series 7 & 24 required at time of application
- 2+ years MMLIS experience OR 3+ years' experience with Brokerage/Advisory space
- High School Diploma
- Bachelor’s Degree
- 3+ years’ experience in suitability review
- Strong understanding of BD/RIA operational platforms and workflows
- Self-starter that can make prudent, risk-based decisions with autonomy
- Expertise in quickly establishing credibility and developing strong working relationships with internal and external constituents
- Superior written & verbal communication skills
- Demonstrated ability to deliver high-quality results on time while being able to multitask and shift work efforts as business needs require
- High degree of ownership, superior attention to detail, willingness to embrace continuous improvement opportunities and challenge the status quo
- Abreast of industry rules and regulations
- 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
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