Business Acceptance Consultant
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’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 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.
- Conduct suitabilityreview, best-interest review, and firm-acceptance of In-Force submissions including Corporate RIA accounts, Brokerage accounts.
- Review trading activity of registered representatives through supervisory control procedures and application of firm policies and procedures, and will require the associate to become subject matter expert In-Force 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 may include implementation and management of operational and supervisory procedures for the firm.
- Must demonstrate ability to effectively communicate with registered representatives, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors.
- 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.
- Document procedures and develop efficient workflows and train staff on all functions.
- Develop and conduct training for home office and agency supervisors.
- Train new associates on the firm’s suitability methodology, systems and compliance procedures.
- Consult with registered representatives, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines.
- Serve as the department’s subject matter expert for interactions with compliance for audits as well as the field force for escalations.
- H.S. Degree
- FINRA Series 7
- FINRA Series 24 required or obtained within 90 days of hire date
- Typically has at least 5+ years of related experience
- Strong verbal and written communication skills
- Experience using Microsoft Word, Outlook, and Excel
- Physical Requirements: Must be able to lift and move boxes up to 35 pounds, Digital Dexterity (i.e. ability to use a computer keyboard and toggle between various screens), Perform repetitive work requiring visual accuracy, Ability to sit, reach, grasp, lift, carry, bend, push, and pull
- Authorized to work in the US without sponsorship
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.
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.