AIS Product and Compliance Specialist

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.

Perform suitability review of new business and other transactions requiring review by a licensed General Securities Principal as required by the Financial Industry Regulatory Authority ("FINRA") and the broker/dealer. Maintain principal review and standard operating procedures; make recommendations for changes as needed due to regulatory changes or to strengthen current procedures. Manage the signature medallion stamp process for AIS. Maintain the annuity rate sheets on the Intranet. Review communications from broker/dealer approved product vendors and clearing firm Important Notices and discuss impacts during weekly meetings. Communicate product changes to broker/dealer's sales team. This position requires at minimum, a check of criminal background and credit records as a FINRA registered position.

Candidate must have the ability to commute to the Green Bay, WI office as needed.

Job Accountabilities

• Analyze and conduct suitability review of new business and other transaction of the broker/dealer requiring review and approval from a licensed General Securities Principal. Ensure proper documentation exists and the investment is suitability for the customer. Diplomatically enforce rules, regulations, and compliance via direct communication with and/or formal memorandums to sales management and/or Registered Representatives to achieve compliance and proper sale practice. Create and maintain accurate and updated procedures for the principal review process. Perform regular testing of written procedures to ensure full compliance.
• Serve as the central contact for each of our strategic partners for product and interest rate changes. Update the rate sheets and other product information on the intranet to ensure accurate information communicated to the sales team.
• Assist with development and maintenance of Operations and Registered Representative procedures as necessary. Review and maintain AIS intranet sites and procedures to ensure procedures are current with practices by consulting associates in Operations, Compliance, and/or Sales.
• Maintain a high level of knowledge of the products offered by AIS by working with the strategic partners and analyzing product sales materials, broker-dealer only materials and product prospectus. This knowledge is required to be effective when conducting principal review.
• Manage and maintain procedures for the signature guarantee program for AIS. Ensure each representative has completed the required training before issuing a signature stamp. Conduct an annual inventory of all issued stamps to ensure each is stamp's location is known. Work with signature guarantee vendor to address questions and concerns.
• Assist projects impacting Operations, new product implementation, and principal review functions including testing changes, and updating impacted procedures or creating new procedures.

Education

Bachelor's Degree or equivalent combination of education and experience Required
Bachelor's Degree Finance, Economics, or Accounting Preferred


Experience

3-5 years Financial services. Required
5-7 years Financial Services Preferred
3-5 years Brokerage Preferred
2-4 years Supervision of brokerage activities Preferred

Licenses and Certifcations

Series 7 License by start date Required

Series 26, 24 Licenses within 3 months of start date Required

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 leavesandaccommodations@associatedbank.com 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.

$66,780.00 - $114,480.00 per year