Director of Brokerage / RIA Operations and Controls

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. 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. 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 Facebook , LinkedIn and X . Compliance Statement Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR. Responsible to report ethical concerns as needed to Associated Bank’s anonymous Ethics Hotline. Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact if you need an accommodation at any time during the process. Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish . Know Your Right to Work English or Spanish . Associated Bank is Pay Transparency compliant. 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