Securities Processing Specialist

Associated Banc-Corp
United States
Workplace: HybridFull timeUSD 19.96 - 34.21 hourlyFunction: Communications, PR & CommunityExperience: 1-3 yearsEducation: associatesSkills: ["Accuracy","Problem-solving","Communication","Attention to detail"]

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.

Loading

Loading job details...

Preparing the role view and application actions.

FursaFursa
Associated Banc-Corp
Associated Banc-Corp
1 month ago

Securities Processing Specialist

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI
Last checked: 16 days 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
WebsiteLinkedIn