Investment Services Operations Supervisor
Associated Bank
full-time
Posted on:
Location Type: Hybrid
Location: Green Bay • Wisconsin • 🇺🇸 United States
Visit company websiteSalary
💰 $59,500 - $102,000 per year
Job Level
JuniorMid-Level
About the role
- 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.
Requirements
- Associate degree in Business, Management, Finance, or equivalent experience
- 2+ years brokerage/securities operations experience with supervisory responsibilities
- Series 7, Series 63 (or 66), and Series 24 licenses
- Series 99 license (if required based on role scope)
- Bachelor’s degree in Business, Management, or Finance (preferred)
- 5+ years brokerage/securities operations experience with supervisory responsibilities (preferred)
- Series 53 and Series 4 licenses (preferred)
Benefits
- 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.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
brokerage operationssecurities operationsprocess analysisperformance monitoringcurriculum developmenttraining deliveryregulatory complianceexception reportingworkflow managementdata reconciliation
Soft skills
coachingteam developmentproblem solvingcommunicationleadershiporganizational skillscustomer servicefeedback deliverycross-trainingefficiency improvement
Certifications
Series 7Series 63Series 66Series 24Series 99Series 53Series 4