Brokerage & RIA Operations Leader — Scale & Compliance

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

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.