Brokerage & RIA Ops Director | Controls & FINOP

Associated Bank - Corp; Green Bay (WI); On-site; USD 137,200 - 235,200; Full time

Benefits offered by this job

401(k) and Pension plans

Paid time off

Diversity-focused Colleague Resource/6

Competitive compensation

Employee stock purchase plan

Job summary

Associated Bank is seeking a senior operations leader in Wisconsin to oversee broker-dealer and RIA operations, ensuring regulatory compliance and books/records integrity. You will act as FINOP (Series 27) and lead a team responsible for trade support, reconciliation, and reporting, while partnering with Finance on audits and filings.

The role requires 10+ years in broker-dealer/RIA operations, 7+ years of leadership, and active FINRA/SEC licensing.

Qualifications

• Bachelor's degree in Business, Finance, or a related field or equivalent experience.
• 10+ years in broker-dealer, RIA operations, or financial controls.
• 7+ years of leadership in complex operational environments.
• Strong knowledge of FINRA/SEC regulations and supervisory frameworks.
• Active Series 7, 24, and 27 (FINOP) licenses.

Responsibilities

• Lead end-to-end broker-dealer and RIA operations across lifecycle management, trade support, reconciliation and reporting.
• Oversee operational control frameworks ensuring compliance with FINRA, SEC and internal policies.
• Serve as FINOP (Series 27) for net capital, customer protection rules, and books/records integrity.
• Drive supervisory oversight including principal review of accounts, trades, and exception reporting.
• Partner with Finance and Corporate Controller on regulatory filings, audits, and financial reporting support.
• Strengthen vendor and clearing firm relationships and improve service delivery and efficiency.
• Advance technology enablement and process improvements for automation and data quality.
• Develop high-performing teams through accountability and continuous improvement.

Skills

Leadership

Regulatory knowledge

Financial controls

Communication

Strategic partnerships

Education

Bachelor's degree in Business/Finance or related field

Tools

FINOP licenses Series 7/24/27

Job description

Associated Bank is seeking a senior operations leader in Wisconsin to oversee broker-dealer and RIA operations, ensuring regulatory compliance and books/records integrity. You will act as FINOP (Series 27) and lead a team responsible for trade support, reconciliation, and reporting, while partnering with Finance on audits and filings.

The role requires 10+ years in broker-dealer/RIA operations, 7+ years of leadership, and active FINRA/SEC licensing.