Investment Services Officer

Russell Tobin is partnering with Associated Investment Services (AIS), the broker/dealer division of Associated Bank, to hire an experienced AIS Operations Supervisor
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This role leads the AIS Operations Processing team, ensuring accurate, timely, and compliant brokerage operations. The ideal candidate is a licensed General Securities Principal with strong brokerage operations experience and proven supervisory leadership.

• Manage daily workflow for brokerage operations processing to ensure accuracy, timeliness, and regulatory compliance
• Supervise and develop operations staff through coaching, productivity monitoring, and performance feedback
• Conduct suitability reviews and oversee trade review and release rule management
• Review exception reports and ensure adherence to FINRA and SEC regulations
• Resolve escalated operational and advisor issues with risk-appropriate solutions
• Identify process improvement opportunities and implement workflow enhancements
• Lead operational deliverables tied to projects and system updates
• Reconcile vendor data feeds and monitor brokerage system performance
• Develop and deliver Operations and Compliance training curriculum

• Associate degree in Business, Finance, Management or equivalent experience
• 2+ years brokerage/securities operations experience with supervisory responsibilities
• Series 99 (if required based on scope)

• 5+ years brokerage/securities operations leadership experience
• Series 53 and/or Series 4

This is an excellent opportunity for a licensed operations leader seeking to deepen leadership experience while driving process improvement within a well-established Midwest financial institution.