General Securities Principal - AIS

Associated Bank • Green Bay, WI

5d • Hybrid

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. Role Summary Join Associated Bank’s AIS team as a General Securities Principal, ensuring regulatory compliance and suitability across broker/dealer transactions. You’ll play a key role in maintaining high standards of integrity, reviewing investment activity, and partnering with internal teams to strengthen processes and compliance oversight. This position offers the opportunity to expand your expertise in financial supervision while supporting a culture of transparency and excellence. This position is remote eligible but must be able to commute to Green Bay, WI once a month

Requirements

• Bachelor’s degree or equivalent experience.
• 3+ years of financial services experience.
• Active FINRA Series 7 and (66 or 63) licenses

Nice To Haves

• Bachelor’s degree in Finance, Economics, or Accounting.
• 5+ years of financial services experience, with brokerage or supervisory background.
• Series 24 or 26, 53 and/or Series 4 licenses (within 6 months of hire).

Responsibilities

• Conduct suitability reviews of new business and transactions requiring approval under FINRA and broker/dealer guidelines.
• Ensure compliance by verifying documentation accuracy and enforcing sales practice standards with diplomacy and professionalism.
• Develop and maintain procedures for principal review, signature guarantee programs, and product rate communications.
• Collaborate with strategic partners to manage product updates, annuity rate sheets, and internal communications.
• Review and test standard operating procedures to ensure compliance with evolving regulations.
• Maintain deep product knowledge by analyzing materials from broker-dealer vendors and partners.
• Support projects involving new product implementation, operations enhancements, and compliance process improvements.
• Monitor and manage signature medallion stamp processes, ensuring training and accountability across representatives.

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: Mid Level