• 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.

• 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.

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. 

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 ,  and X. 

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