AIS Brokerage Operations Manager

Associated Bank; Green Bay (WI); On-site; USD 116,000 - 198,000; Full time

Benefits offered by this job

401(k) and Pension plans

Paid time off to volunteer

Diversity-focused colleague resource"s

Job summary

Associated Bank’s AIS unit seeks an experienced Brokerage Operations Manager to lead daily broker-dealer and RIA operations, ensuring efficient onboarding, servicing, and processing. You will manage relationships with clearing firms, commissions, and advisory fees while driving risk controls and regulatory readiness.

You will partner with Compliance, Finance, Risk and business leaders to optimize processes, reporting, and scalability, building a high-performing team through coaching and

Qualifications

• Bachelor's degree in Business, Finance, Management or related field required.
• 8+ years in Broker-Dealer and/or RIA operations.
• 8+ years operating in a regulated financial services environment.
• Demonstrated leadership of teams, projects or operations.
• Series 7, Series 99, and Series 4 licenses required.

Responsibilities

• Lead daily brokerage and RIA operations including onboarding, servicing, and transaction processing.
• Manage clearing firm relationships, commission processing, advisory fee billing, trade corrections, and workflows.
• Collaborate with Compliance, Finance, Risk and leaders for regulatory readiness and controls.
• Develop and enhance procedures, controls, and reporting for efficiency and scalability.
• Oversee monitoring, exception management and remediation to mitigate risk and ensure compliance.
• Support technology initiatives, platform enhancements, and vendor relationships.
• Prepare operational metrics and analysis for executives and partners.
• Build and develop a high-performing operations team through coaching and succession planning.

Skills

Leadership

Regulatory compliance

Project management

Team coaching

Series 7

Series 99

Series 4

Education

Bachelor's degree in Business/Finance/Management

Tools

Brokerage platforms

Job description

At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.

Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires.

Associated Investment Services (AIS) is seeking an experienced AIS Brokerage Operations Manager to lead the operational support of our Broker-Dealer and Registered Investment Adviser (RIA) platform. In this role, you will oversee key brokerage, advisory, annuity, and mutual fund operations while driving process improvements, regulatory readiness, and operational excellence. This is an exciting opportunity to influence strategy, lead a high-performing team, and support the continued growth of our wealth management business.

• Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution.
• Manage clearing firm relationships, commission processing, advisory fee billing, trade corrections, and operational workflows.
• Partner with Compliance, Finance, Risk, and business leaders to support regulatory requirements and operational controls.
• Develop and enhance operational procedures, controls, and reporting to improve efficiency, accuracy, and scalability.
• Oversee operational monitoring, exception management, and remediation activities to mitigate risk and ensure compliance.
• Support technology initiatives, platform enhancements, vendor relationships, and operational projects.
• Prepare operational metrics, reporting, and analysis for executive leadership and key business partners.
• Build and develop a high-performing operations team through coaching, training, and succession planning.

Education & Experience

Required

• Bachelor's degree in Business, Finance, Management, or a related field, or equivalent combination of education and experience.
• 8+ years of experience in Broker-Dealer and/or RIA operations.
• 8+ years of experience exercising operational judgment within a regulated financial services environment.
• Demonstrated leadership experience managing teams, projects, or operational functions.
• Series 7, Series 99, and Series 4 licenses.

Preferred

• 6+ years of experience supporting a hybrid Broker-Dealer/RIA operating model.
• 6+ years of experience with principal review, supervisory processes, or FINOP-related responsibilities.
• 6+ years of experience within a bank, trust company, or insurance-affiliated organization.
• Series 24, Series 27, or Series 53 license, or the ability to obtain.

We welcome and encourage applications from all qualified parties, including but not limited to people returning to the workforce, people with disabilities, those without a college degree, and veterans or those with military experience.

In addition to core traditional benefits, we take pride in offering benefits for every stage of life.

• Retirement savings including both 401(k) and Pension plans.
• Paid time off to volunteer in your community.
• Opportunities to connect with others through our diversity-focusedColleague Resource Groups.
• Competitive salaries with professional development and advancement opportunities.
• Bonus benefits including well-being programs and incentives, parental leave,anemployee stock purchase plan, military benefits and much more.
• Personal banking, loan, investmentand insurance benefits.

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest.Join our community onFacebook,LinkedInandX.

Compliance Statement

Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.

Responsible to report ethical concerns as needed to Associated Bank’s anonymous Ethics Hotline.

Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact [e-mail] if you need an accommodation at any time during the process.

Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish. Know Your Right to Work English or Spanish.

Associated Bank is Pay Transparency compliant.

The pay range represents anticipated base pay for this role. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role.

For certain positions, total compensation may also include incentive, commission, or bonus opportunities not reflected in the posted base pay range.

$115,780.00 - $198,480.00 per year