More jobs:
Brokerage & RIA Operations Leader, Compliance & Controls
Job in
Milwaukee, Milwaukee County, Wisconsin, 53244, USA
Listed on 2026-07-28
Listing for:
Associated Bank - Corp
Full Time
position Listed on 2026-07-28
Job specializations:
-
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
Associated Banc-Corp is seeking an executive leader to oversee broker-dealer and RIA operations in Milwaukee, ensuring strong controls and compliance. The role requires Series 7/24/27 licenses, deep FINRA/SEC knowledge, and proven leadership in complex settings.
You will partner with Finance, drive regulatory filings, and lead strategic process improvements while building high‑performing teams in a growth‑oriented environment.
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