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 operational transformation, technology initiatives, or M&A integrations Why You'll Love Working Here At Associated Bank, you'll join a collaborative, growth-oriented environment with a strong commitment to our people and the communities we serve. You'll have the opportunity to influence strategy, lead meaningful change, and partner with leaders across the organization to drive impact. Apply today to make an impact. 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. $137,200.00 - $235,200.00 per year