Associated Banc-Corp

1 month ago

Director of Brokerage / RIA Operations and Controls

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI

Last checked: 21 hours agoStatus: Live

Job Summary

Lead end-to-end broker-dealer and RIA operations for Associated Investment Services, driving operational integrity, control frameworks, and regulatory alignment with FINRA/SEC. Oversee account lifecycle, trade support, reconciliation, reporting, and principal supervisory review, serving as FINOP (Series 27). Partner with Finance, Risk, Compliance, and Private Wealth to support filings, audits, and financial reporting while strengthening vendor/clearing relationships and advancing automation for scalable efficiency.

Location: Milwaukee

Workplace: Hybrid

Employment Type: Full time

Job Function: Executive & General Management

Seniority: Director level

Key Responsibilities

•Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting.
•Oversee operational control frameworks to ensure compliance with FINRA, SEC regulations, and internal policies.
•Serve as FINOP (Series 27) for operational inputs supporting net capital, customer protection rules, and books and records integrity.
•Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting aligned with WSPs.
•Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support.

Pay and Benefits

Salary: USD 137,200 - 235,200 annually

Perks:401kPensionPaid LeaveParental LeaveEquity

Key Requirements

•Bachelor’s degree in Business, Finance, or related field (or equivalent experience).
•10+ years of experience in broker-dealer, RIA operations, or financial controls.
•7+ years of leadership experience in complex operational environments.
•Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks.
•Active Series 7, 24, and 27 (FINOP) licenses.

Experience:10+ yearsBroker-dealerRIA operationsFinancial controls

Education:Bachelor's in Business, Finance, or related field

Skills:LeadershipAccountabilityContinuous improvementRegulatory knowledgeCross-functional partnership

Licenses:Series 7Series 24Series 27 (FINOP)

Certifications:Series 7Series 24Series 27 (FINOP)

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

1 month ago

Director of Brokerage / RIA Operations and Controls

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI

Last checked: 21 hours agoStatus: Live

Job Summary

Location: Milwaukee

Workplace: Hybrid

Employment Type: Full time

Job Function: Executive & General Management

Seniority: Director level

Key Responsibilities

•Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting.
•Oversee operational control frameworks to ensure compliance with FINRA, SEC regulations, and internal policies.
•Serve as FINOP (Series 27) for operational inputs supporting net capital, customer protection rules, and books and records integrity.
•Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting aligned with WSPs.
•Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support.

Pay and Benefits

Salary: USD 137,200 - 235,200 annually

Perks:401kPensionPaid LeaveParental LeaveEquity

Key Requirements

•Bachelor’s degree in Business, Finance, or related field (or equivalent experience).
•10+ years of experience in broker-dealer, RIA operations, or financial controls.
•7+ years of leadership experience in complex operational environments.
•Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks.
•Active Series 7, 24, and 27 (FINOP) licenses.

Experience:10+ yearsBroker-dealerRIA operationsFinancial controls

Education:Bachelor's in Business, Finance, or related field

Skills:LeadershipAccountabilityContinuous improvementRegulatory knowledgeCross-functional partnership

Licenses:Series 7Series 24Series 27 (FINOP)

Certifications:Series 7Series 24Series 27 (FINOP)

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