Director of Brokerage / RIA Operations and Controls

Associated Bank • Green Bay, WI

47d • $137,200 - $235,200 • Onsite

About The Position

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.

Requirements

• 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

Nice To Haves

• 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

Responsibilities

• 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.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director