Investment Operations Specialist – Brokerage

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

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.