Associated Banc-Corp

2 weeks ago

Securities Processing Specialist

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 17 hours agoStatus: Live

Job Summary

Process and maintain brokerage, direct mutual funds, annuity, and life account paperwork and maintenance requests with accuracy and service-standard timeliness. Serve as an operational resource for front-office colleagues by resolving vendor/system issues and responding to inquiries. Review and manage trade and money movement exceptions to release or reject transactions appropriately. Ensure compliance documentation (CIP/KYC/KYA, CIP/BSA/AML) and support incident ticketing for records that fail to feed into systems.

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Communications, PR & Community

Seniority: Entry level

Key Responsibilities

•Review new brokerage and investment account documents/disclosures and ensure accounts are accurately coded and opened per established procedures and service standards.
•Process account maintenance and service requests with required documentation and promptly route not-in-good-order (NIGO) work items for resolution.
•Support front-office colleagues with operational procedures and broker/dealer systems by resolving vendor and system issues and maintaining a procedures/knowledge base.
•Review and release or reject trades and client money movement instructions; resolve trade exceptions, rejects, and check deposit transactions the same day they are identified.
•Process checks and physical securities for regulatory requirements, transmit funds to vendors promptly, and follow up on new accounts to ensure funding and system records are complete.

Pay and Benefits

Salary: USD 19.96 - 34.21 hourly

Perks:401kPensionPaid LeaveParental LeaveEquity

Key Requirements

•1-3 years of financial services experience.
•Associate's degree or an equivalent combination of education and experience in financial services.
•Knowledge of brokerage operations and experience preferred (3-5 years).
•Ability to process account documents accurately and ensure proper customer identification per CIP/BSA/AML policies.
•Series 7 and/or Series 66 licensing within 2 years is preferred.

Experience:1-3 yearsFinancial servicesBrokerage

Education:Associate's

Skills:AccuracyProblem-solvingCommunicationAttention to detail

Licenses:Series 7-Stockbroker ExamSeries 66

Certifications:Series 7-Stockbroker ExamSeries 66

Company Brief

Associated Banc-Corp

Associated Banc-Corp is a bank holding company providing retail, commercial, and wealth management services across the Midwest. It offers checking, lending, treasury, mortgage, and investment solutions for consumers, businesses, and institutions.

Industry: Banking

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Green Bay, United States

Founded: 1964

Website LinkedIn

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Associated Banc-Corp

2 weeks ago

Securities Processing Specialist

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 17 hours agoStatus: Live

Job Summary

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Communications, PR & Community

Seniority: Entry level

Key Responsibilities

•Review new brokerage and investment account documents/disclosures and ensure accounts are accurately coded and opened per established procedures and service standards.
•Process account maintenance and service requests with required documentation and promptly route not-in-good-order (NIGO) work items for resolution.
•Support front-office colleagues with operational procedures and broker/dealer systems by resolving vendor and system issues and maintaining a procedures/knowledge base.
•Review and release or reject trades and client money movement instructions; resolve trade exceptions, rejects, and check deposit transactions the same day they are identified.
•Process checks and physical securities for regulatory requirements, transmit funds to vendors promptly, and follow up on new accounts to ensure funding and system records are complete.

Pay and Benefits

Salary: USD 19.96 - 34.21 hourly

Perks:401kPensionPaid LeaveParental LeaveEquity

Key Requirements

•1-3 years of financial services experience.
•Associate's degree or an equivalent combination of education and experience in financial services.
•Knowledge of brokerage operations and experience preferred (3-5 years).
•Ability to process account documents accurately and ensure proper customer identification per CIP/BSA/AML policies.
•Series 7 and/or Series 66 licensing within 2 years is preferred.

Experience:1-3 yearsFinancial servicesBrokerage

Education:Associate's

Skills:AccuracyProblem-solvingCommunicationAttention to detail

Licenses:Series 7-Stockbroker ExamSeries 66

Certifications:Series 7-Stockbroker ExamSeries 66

Company Brief

Associated Banc-Corp

Industry: Banking

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Green Bay, United States

Founded: 1964

Website LinkedIn