Brokerage Operations Specialist

Associated Banc‑Corp; Green Bay (WI); On-site; USD 57,275,000 - 98,025,000; Full time

Benefits offered by this job

401(k) and Pension plans

Paid time off to volunteer

Diversity-focused Colleague Resource G

Competitive salaries with professional

Employee stock purchase plan

Military benefits

Parental leave

Well-being programs

Job summary

Associated Bank is seeking a Brokerage Operations Specialist to support brokerage, mutual fund, annuity and life insurance operations. You will ensure accurate processing, assist financial advisors and branch colleagues, and help deliver an exceptional client experience.

Responsibilities include reviewing applications, processing maintenance and transfers, monitoring trades, and maintaining regulatory documentation.

Qualifications

• Associate's degree in Financial Services or equivalent combination of education and experience.
• 1+ year of experience in financial services.
• Strong attention to detail and ability to manage multiple priorities.
• Effective communication, problem-solving, and customer service skills.
• Preferred Bachelor's degree in Finance, Accounting, Economics, or a related field.
• 3+ years of experience in brokerage, investment operations, or wealth management.
• Knowledge of brokerage products, account servicing, and regulatory requirements.
• Series 7 and/or Series 66 licenses, or willingness to obtain within 2 years.

Responsibilities

• Review new account applications and documentation to ensure accuracy, completeness, and regulatory compliance.
• Process account maintenance requests, transfers, and service transactions within established service standards.
• Support front-line colleagues by serving as a resource for operational processes, systems, and investment product procedures.
• Monitor trade activity, money movement requests, and exception items to identify and resolve issues promptly.
• Coordinate with vendors, internal partners, and financial advisors to resolve account and transaction-related inquiries.
• Maintain accurate client records, regulatory documentation, and operational reporting.
• Identify and escalat[e] higher-risk transactions while ensuring timely and accurate resolution.
• Develop and maintain operational procedures and assist with training new team members.

Skills

Attention to detail

Communication skills

Customer service

Multitasking

Education

Associate's degree in Financial Services or equivalent

Bachelor's degree in Finance, Accounting, Economics, or related field

Job description

Brokerage Operations Specialist

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.

Join Associated Bank as a Brokerage Operations Specialist and play a key role in supporting brokerage, mutual fund, annuity, and life insurance business. In this role, you’ll ensure transactions are processed accurately, support financial advisors and branch colleagues, and help deliver an exceptional client experience. This is a great opportunity to build expertise in investment operations and grow your career within wealth management.

Responsibilities

• Review new account applications and documentation to ensure accuracy, completeness, and regulatory compliance.
• Process account maintenance requests, transfers, and service transactions within established service standards.
• Support front-line colleagues by serving as a resource for operational processes, systems, and investment product procedures.
• Monitor trade activity, money movement requests, and exception items to identify and resolve issues promptly.
• Coordinate with vendors, internal partners, and financial advisors to resolve account and transaction-related inquiries.
• Maintain accurate client records, regulatory documentation, and operational reporting.
• Identify and escalat[e] higher-risk transactions while ensuring timely and accurate resolution.
• Develop and maintain operational procedures and assist with training new team members.

Education & Experience Required

• Associate's degree in Financial Services or equivalent combination of education and experience.
• 1+ year of experience in financial services.
• Strong attention to detail and ability to manage multiple priorities.
• Effective communication, problem-solving, and customer service skills.

Preferred

• Preferred Bachelor's degree in Finance, Accounting, Economics, or a related field.
• 3+ years of experience in brokerage, investment operations, or wealth management.
• Knowledge of brokerage products, account servicing, and regulatory requirements.
• Series 7 and/or Series 66 licenses, or willingness to obtain within 2 years.

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.

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success.

Salary

$19.96 - $34.21 per hour

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.

Benefits

• 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-focused Colleague Resource Groups.
• Competitive salaries with professional development and advancement opportunities.
• Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.
• Personal banking, loan, investment and insurance benefits.

What does it mean to be #RootedHere? For us, it means having a career that grows with you. We think you’ll like the opportunities available at Associated Bank.

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.

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.