Director of Brokerage RIA Operations

ASSOCIATED BANK NA • Milwaukee, WI • 4h ago

JOB REQUIREMENTS: 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. Lead the operational strategy and control environment for Associated Investment Services\' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology-enabled efficiency while partnering across Finance, Risk, Compliance, and Private Wealth. It offers high visibility with senior leadership and the opportunity to shape a scalable, best-in-class operating model. What you\'ll do: Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting. Oversee operational control frameworks, ensuring compliance with FINRA, SEC regulations, and internal policies. Serve as FINOP (Series 27) responsible for operational inputs supporting net capital, customer protection rules, and books and records integrity. Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting in alignment with WSPs. Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support. Strengthen vendor and clearing firm relationships while identifying opportunities to improve service delivery and efficiency. Advance technology enablement and process improvements to enhance automation, data quality, and scalability. Develop high-performing teams by fostering accountability, continuous improvement, and professional growth. What you\'ll bring: Bachelor\'s degree in Business, Finance, or related field (or equivalent experience) 10+ years of experience in broker-dealer, RIA operations, or financial controls 7+ years of leadership experience in complex operational environments Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks Active Series 7, 24, and 27 (FINOP) licenses Preferred: Master\'s degree in Business, Finance, or related field Series 4 and Series 65 or 66 licenses Experience leading... For full info follow application link. The employment policy of Associated Banc-Corp, and its subsidiaries and affiliates (\"Associated\") provides equal opportunity to all persons. We support a diverse and inclusive work environment where colleagues are respected, treated fairly, and given equal opportunities to perform to their fullest potential. We believe it is only with a diverse and inclusive workplace that the organization can truly perform at its best, carry out its vision, and make a difference for the communities we serve. *** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/82CB6A2F489D42B1

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