AIS Brokerage Operations Manager

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

Benefits offered by this job

401(k)

Pension plans

Volunteer time off

Employee stock purchase plan

Well-being programs

Parental leave

Military benefits

Career advancement

Job summary

Associated Bank is seeking an experienced AIS Brokerage Operations Manager to lead the operational support of our Broker-Dealer and RIA platform. You will oversee brokerage, advisory, annuity and mutual fund operations while driving process improvements, regulatory readiness, and operational excellence.

We expect 8+ years in broker-dealer/RIA operations with Series 7, 99 and 4 licenses, plus a track record in leading high-performing teams and collaborating with Compliance, Finance and Risk.

Qualifications

• Bachelor's degree in Business, Finance, or related field.
• 8+ years of Broker-Dealer and/or RIA operations experience.
• 8+ years of regulated financial services operations experience.
• Proven leadership experience managing teams, projects, or operational functions.
• Series 7, Series 99, and Series 4 licenses.

Responsibilities

• 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.

Skills

Leadership

Operational leadership

Regulatory compliance

Team management

Relationship management

Education

Bachelor's degree in Business/Finance/Management

Series 7

Series 99

Series 4

Series 24

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 on Facebook, LinkedIn and X.

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 isPay 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