AIS Brokerage Operations Manager

At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.

Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires.

Required

• Bachelor's degree in Business, Finance, Management, or a related field, or equivalent combination of education and experience.
• 8+ years of experience in Broker-Dealer and/or RIA operations.
• 8+ years of experience exercising operational judgment within a regulated financial services environment.
• Demonstrated leadership experience managing teams, projects, or operational functions.
• Series 7, Series 99, and Series 4 licenses.

Preferred

• 6+ years of experience supporting a hybrid Broker-Dealer/RIA operating model.
• 6+ years of experience with principal review, supervisory processes, or FINOP-related responsibilities.
• 6+ years of experience within a bank, trust company, or insurance-affiliated organization.
• Series 24, Series 27, or Series 53 license, or the ability to obtain.

We welcome and encourage applications from all qualified parties, including but not limited to people returning to the workforce, people with disabilities, those without a college degree, and veterans or those with military experience.

Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.

Responsible to report ethical concerns as needed to Associated Bank’s anonymous Ethics Hotline.

Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact leavesandaccommodations@associatedbank.com if you need an accommodation at any time during the process.

Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish. Know Your Right to Work English or Spanish.

Associated Bank is Pay Transparency compliant.

The pay range represents anticipated base pay for this role. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role.

For certain positions, total compensation may also include incentive, commission, or bonus opportunities not reflected in the posted base pay range.