Apply on Employer Site

Associated Bank · 1 month ago

Associated Investment Services Operations Supervisor

Green Bay 433 Main

Full-time

Hybrid

Mid, Senior Level

$56K/yr - $96K/yr

2+ years exp

Associated Bank is committed to fostering an inclusive culture that values diverse perspectives. The Associated Investment Services Operations Supervisor leads the AIS Operations Processing team, ensuring accurate and compliant processing for clients while enhancing operational efficiency and addressing escalated issues.

BankingFinancial ServicesWealth Management

Responsibilities

Manage daily workflow for the AIS Operations Processing team to ensure accuracy, timeliness, and regulatory compliance

Coach and develop team members through training, productivity monitoring, performance feedback, and cross-training for full coverage

Conduct suitability reviews, run exception reports, and support trade review and release rule management for the broker/dealer

Resolve escalated customer and sales team issues by researching and determining accurate, risk-appropriate solutions

Analyze processes to identify efficiency opportunities, update procedures, and deliver training on new or revised workflows

Lead operational tasks and deliverables for assigned projects, ensuring successful execution against objectives and deadlines

Monitor brokerage systems, reconcile daily vendor data feeds, and communicate system updates or impacts to colleagues

Develop and manage curriculum for Operations and Compliance training, delivering education to new and existing AIS colleagues

Qualification

Brokerage operations experienceSupervisory experienceSeries 7 licenseSeries 63 licenseSeries 63 66 licenseSeries 24 licenseProcess improvementTeam coachingCustomer issue resolutionTraining developmentRegulatory compliance