AIS Brokerage Operations Manager

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.

Associated Investment Services (AIS) is seeking an experienced AIS Brokerage Operations Manager to lead the operational support of our Broker-Dealer and Registered Investment Adviser (RIA) platform. In this role, you will oversee key brokerage, advisory, annuity, and mutual fund operations while driving process improvements, regulatory readiness, and operational excellence. This is an exciting opportunity to influence strategy, lead a high-performing team, and support the continued growth of our wealth management business.

Responsibilities include:

• Leading daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution.
• Managing clearing firm relationships, commission processing, advisory fee billing, trade corrections, and operational workflows.
• Partnering with Compliance, Finance, Risk, and business leaders to support regulatory requirements and operational controls.
• Developing and enhancing operational procedures, controls, and reporting to improve efficiency, accuracy, and scalability.
• Overseeing operational monitoring, exception management, and remediation activities to mitigate risk and ensure compliance.
• Supporting technology initiatives, platform enhancements, vendor relationships, and operational projects.
• Preparing operational metrics, reporting, and analysis for executive leadership and key business partners.
• Building and developing a high-performing operations team through coaching, training, and succession planning.

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.

In addition to core traditional benefits, we take pride in offering benefits for every stage of life.

• Retirement savings including both 401(k) and Pension plans.
• Paid time off to volunteer in your community.
• Opportunities to connect with others through our diversity-focused Colleague Resource Groups.
• Competitive salaries with professional development and advancement opportunities.
• Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.
• Personal banking, loan, investment and insurance benefits.

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest.

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 leavesandacco if you need an accommodation at any time during the process.

Associated…