Director of Brokerage / RIA Operations and Controls

Associated Banc-Corp
Milwaukee
Workplace: HybridFull timeUSD 137,200 - 235,200 annuallyFunction: Executive & General ManagementExperience: 10+ yearsEducation: bachelorsSkills: ["Leadership","Accountability","Continuous improvement","Regulatory knowledge","Cross-functional partnership"]

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.

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FursaFursa
Associated Banc-Corp
Associated Banc-Corp
2 months ago

Director of Brokerage / RIA Operations and Controls

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Last checked: 12 days 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
WebsiteLinkedIn