Suitability Principal

About the role

The Suitability Principal will lead a team that supports sophisticated financial advisors, handling time‑sensitive and escalated cases with professionalism. The role involves back‑office reviews of high‑risk brokerage money‑movement transactions and collaboration across broker‑dealer functions.

Key responsibilities

• Manage escalated, time‑sensitive cases for advisors and their clients.
• Conduct back‑office reviews of complex, high‑risk brokerage money‑movement transactions.
• Oversee advisory operations and cashiering functions.
• Collaborate with peer teams throughout the broker‑dealer to ensure smooth execution of securities transactions.
• Drive education and readiness initiatives for the In‑Force team.

Required profile

• FINRA Series 7 & 24 licenses at time of application.
• 3+ years MMLIS experience or 4+ years brokerage/money‑movement experience.
• High School Diploma/GED; Bachelor’s degree preferred.
• 5+ years of MMLIS experience and at least 1 year coaching/mentoring.
• Strong communication, ownership, and attention to detail.

Required skills

• FINRA Series 7 certification
• FINRA Series 24 certification
• MMLIS platform expertise
• Brokerage and money‑movement transaction processing
• Knowledge of BD/RIA operational platforms and workflows