Address
Form of work
SalaryAt 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.
We invite you to view the opportunity below.The AIS Product and Compliance Specialist will 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.
This person will:
- 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.
Review the qualifications listed below:
Education
Bachelor's Degree or equivalent combination of education and experience Required
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 Certifications
Other Series 7 and 24 Licenses by start date Required
Series 99 and 66 within 6 months Preferred
Other Series 53 within 6 months Preferred
Other Series 4 within 6 months Preferred
Other Series 53 within 6 months Preferred
Other Series 4 within 6 months Preferred
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 and Minnesota 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 to individuals with disabilities throughout the application & interview process. Please contact
leavesandaccommodations@associatedbank.com
if you need an accommodation at any time during the interview process. Associated Banc-Corp is an Affirmative Action and
Equal Opportunity Employer
. 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.
