Associated Investment Services (AIS) is seeking an experienced AIS Brokerage Operations Manager to lead the operational support of our Broker-Dealer and Registered Investment Adviser (RIA) platform. In this role, you will oversee key brokerage, advisory, annuity, and mutual fund operations while driving process improvements, regulatory readiness, and operational excellence. This is an exciting opportunity to influence strategy, lead a high-performing team, and support the continued growth of our wealth management business.
- 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.
Education & ExperienceRequired
- Bachelor's degree in Business, Finance, Management, or a related field, or equivalent combination of education and experience.
- 8+ years of experience in Broker-Dealer and/or RIA operations.
- 8+ years of experience exercising operational judgment within a regulated financial services environment.
- Demonstrated leadership experience managing teams, projects, or operational functions.
- Series 7, Series 99, and Series 4 licenses.
Preferred
- 6+ years of experience supporting a hybrid Broker-Dealer/RIA operating model.
- 6+ years of experience with principal review, supervisory processes, or FINOP-related responsibilities.
- 6+ years of experience within a bank, trust company, or insurance-affiliated organization.
- Series 24, Series 27, or Series 53 license, or the ability to obtain.
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-focused Colleague Resource Groups.
- Competitive salaries with professional development and advancement opportunities.
- Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.
- Personal banking, loan, investment and insurance benefits.
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.
$115,780.00 - $198,480.00 per year
