Associated Bank is seeking a senior operations leader in Wisconsin to oversee broker-dealer and RIA operations, ensuring regulatory compliance and books/records integrity. You will act as FINOP (Series 27) and lead a team responsible for trade support, reconciliation, and reporting, while partnering with Finance on audits and filings.
The role requires 10+ years in broker-dealer/RIA operations, 7+ years of leadership, and active FINRA/SEC licensing.
#J-18808-LjbffrBrokerage & RIA Ops Director | Controls & FINOP in green bay at Unknown Company
This position is listed as full time and onsite.