Business Acceptance Consultant - REMOTE US
The Opportunity
As a Business Acceptance Consultant you will conduct back-office review and firm-acceptance of Broker Dealer New Business submissions, and demonstrate a strong penchant for leadership and coaching. In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We also highly value strong communication skills, a passion for learning, leadership traits, resilience and self-awareness.
The Team
The MML Investors Services, LLC New Business South Region Team is comprised of highly skilled, financial services professionals who render collaborative compliance solutions to our Financial Advisors. Team members demonstrate high levels of competence in the areas of resilience, accountability, agility, and are focused on continuous improvement and development. The team culture is collaborative, cross-functional, and fosters high performance results with an emphasis on encouraging a healthy work/life balance. We seek to provide best-in-class service to sophisticated Advisors as they provide their clients with a holistic suite of wealth management products and solutions.
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. Additionally, you will be involved on a daily basis in complex problem resolution requiring higher level critical thinking.
Key responsibilities will include:
Conduct back-office review and firm-acceptance of Broker Dealer New Business submissions including Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, Annuities, 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.
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 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. FINRA Licenses as required.
The Minimum Qualifications
FINRA Series 7 & 24 at time of application.
3+ years MMLIS experience or 5 years equivalent industry experience.
Proven leadership abilities, with emphasis on employee professional development.
Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style.
Ability to work in a fast paced, ever changing environment.
High degree of ownership and sense of urgency.
Superior customer service skills.
The Ideal Qualifications
4+ years MMLIS experience or 7 years equivalent industry experience.
Extensive working knowledge or ability to learn the following systems: National Financial Services's Unified Account Opening, NFS BPM, Envestnet's ENV2 platform, Automated Work Distributor (AWD), Streetscape, Fidelity Brokerage System Interface
What to Expect as Part of MassMutual and the Team
Regular meetings with the MMLIS New Business South Region Team.
Focused one-on-one meetings with your manager.
Access to mentorship opportunities.
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
Salary Range
$55,000-$75,000 **Commensurate with experience and FINRA licenses
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LI-REMOTE
MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.