Securities Processing Specialist

associatedbank; Green Bay (WI); On-site; USD 28,000 - 47,000; Full time

Benefits offered by this job

401(k) and Pension plans

Volunteer time off

Diversity-focused Colleague Resource-G

Competitive salaries and development

Well-being programs and incentives

Parental leave

Employee stock purchase plan

Job summary

Associated Bank is seeking a detail-oriented operations professional to support brokerage and asset-management workflows. You will process new accounts, maintenance requests, and trade reviews while ensuring compliance with CIP/KYC and regulatory requirements.

You'll work with front-office teams, vendors, and internal systems to resolve issues promptly and maintain accurate documentation. A focus on accuracy and timely communication is essential.

Qualifications

• Knowledge of CIP, KYC, and AML policies required.
• Experience in financial services required (1-3 years).
• Licenses 7/66 preferred within 2 years.

Responsibilities

• Review new account documents for brokerage and fund accounts per procedures.
• Process maintenance requests with timely resolution and accurate documentation.
• Provide front-office support on broker/dealer products, systems, and policies.
• Review trades for compliance and release/reject timely.
• Process checks and physical securities per procedures for regulatory reporting.
• Enter CIP and KYC data into the Financial Intelligent Department's system.
• Identify and follow up on high-risk transactions and run exception reports.
• Draft and update desk-top procedures; train new colleagues.

Skills

CIP/KYC procedures

Brokerage operations

Customer service

Education

Associate's Degree

Bachelor's Degree Finance

Bachelor's Degree Accounting

Bachelor's Degree Economics

Series 7 License

Series 66 License

Tools

Broker/dealer systems

Checks & securities database

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.

Process paperwork for new brokerage, direct mutual funds, annuity and life business and maintenance requests according to established procedures and within established service standards. Ensure all paperwork is completed in its entirety and all required forms are included. Provide support to and serve as a resource for front-office colleagues specific to operational procedures, processes and guidelines. Maintain an effective working relationship with all partners and customers to ensure quick resolution to transaction errors and problems.

Job Accountabilities

• Review new account documents and disclosures submitted for brokerage, direct mutual funds, annuity and life accounts according to established procedures and service standards. Ensure customers are identified according CIP/BSA/AML policies and procedures. Review to ensure accounts are coded and opened accurately. Communicate promptly and clearly, to the appropriate colleague(s), not in good order (NIGO) work items for timely resolution. Submit documents timely to vendors as necessary to avoid delays.
• Review all account maintenance and service requests for required documentation. Process all maintenance and service requests accurately and timely according to established procedures and service standards. Communicate promptly and clearly, to the appropriate colleague(s), not in good order (NIGO) work items for timely resolution.
• Provide exceptional and timely support and service to front-office colleagues specific to operational procedures and processes, general broker/dealer product offerings, broker/dealer systems, and broker/dealer policies and procedures by working directly with product and system vendors resolve/trouble issues. Respond promptly and accurately to email, telephone, service request inquiries from front-office colleagues. Maintain procedures and knowledge base to ensure accurate and consistent response is to front office colleagues.
• Review trades that violate compliance and operational rules and accurately release or reject the trade in timely manner for execution. Review and release/reject applicable client money movement requests, standing money movement instructions to mitigate risks to the firm and the client. Review and resolve trade exceptions, money movement rejects, and check deposit transactions the same day the issue is identified. Review and process all trade correction timely and accurately.
• Process checks and physical securities in accordance with established procedures to meet regulatory requirements. Record checks and securities accurately in the checks and securities database for accurate reporting to internal audit and external regulators. Ensure all funds are transmitted to third party vendors promptly to avoid regulatory exceptions for AIS.
• Follow-up on new accounts to ensure accounts/contracts are opened accurately and funding is received. Contact the applicable product vendors resolve all issues. Accurately enter required CIP and KYC KYA information in the Financial Intelligent Department's system for documentation and review. Create and submit an incident ticket to the Associated Bank technical support team for any account owners or authorized parties records that did not feed into the system.
• Identify higher potential risk transactions and follow up to ensure it is processed correctly and completed in a timely manner. In addition, run periodic exception reports; clear and/or report on the exception as appropriate.
• Draft functional desk-top procedures, update procedures to reflect current processes, and provide functional training to new colleagues.

Education

• Associate's Degree or equivalent combination of education and experience Financial Services Required
• Bachelor's Degree Finance Preferred
• Bachelor's Degree Accounting Preferred
• Bachelor's Degree Economics Preferred
• Experience 1-3 years Financial Services Required
• 3-5 years Brokerage Preferred
• Licenses and Certifcations Series 7-Stockbroker Exam within 2 years Preferred
• Other Series 66 License within 2 years Preferred

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 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.

$19.96 - $34.21 per hour