Business Acceptance Consultant
Why we need you.
The Business Acceptance Consultant is responsible for principally reviewing MML Investors Services (MMLIS) Registered Representatives' business submissions. Mitigate risk to the firm by assessing New Business submissions and documentation to ensure compliance with regulatory and firm policies and procedures. Strong emphasis placed on Regulation Best Interest, RIA Suitability and SEC guidelines, FINRA Rule 2330 and the NAIC Annuity Model Regulation and associated Suitability Methodology.
Daily and monthly responsibilities - What your days and weeks will include.
Conduct back-office review and firm-acceptance of New Business submissions of Variable Universal Life and Group Retirement Plan submissions and may include Corporate RIA accounts, Brokerage accounts, Options accounts, 529 plans, and annuities.
Perform full suitability review to appropriate SEC guidelines and FINRA rule 2330.
Determine root cause of issues, provide solutions, and resolve matters independently without management supervision.
Assume full ownership of escalated cases; consult appropriate resources and identify customer focused resolutions compliant with regulatory guidelines.
Acquire and maintain expert level knowledge of all products.
Must demonstrate and leverage superior communication skills to influence and educate field and home office personnel.
Work collaboratively with aligned Regional Supervisory Director, Field Support Consultant, and Manager to identify and address training gaps and/or trends.
Consistently identify and report to management on trending and risk mitigation measures
Required skills and qualifications - The qualifications that are needed for this role:
FINRA Series 7 and 24 required at time of application.
1+ years MMLIS experience or 3 years equivalent experience.
Qualify as a fingerprinted person under FINRA with one of the MassMutual Broker Dealers
Superior customer service skills.
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.
Strong organizational and time management skills essential.
Preferred qualifications - Additional skills that make you a great fit:
FINRA Series 4 and 53 (or to be obtained within one year (If the Series 7 was obtained after 11/7/2011 the Series 52 is then a prerequisite for the Series 53).
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
College degree preferred with a concentration in business or finance.
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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.