Director of Brokerage – RIA Operations and Controls

Associated Bank

Director of Brokerage / RIA Operations overseeing broker-dealer and RIA platforms. Ensuring regulatory compliance, operational integrity, and leading complex operational environments.

Posted 5/21/2026full-timeGreen Bay • Wisconsin • 🇺🇸 United StatesLead💰 $137,200 - $235,200 per yearWebsite

About the role

Key responsibilities & impact

Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting.
Oversee operational control frameworks, ensuring compliance with FINRA, SEC regulations, and internal policies.
Serve as FINOP (Series 27) responsible for operational inputs supporting net capital, customer protection rules, and books and records integrity.
Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting in alignment with WSPs.
Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support.
Strengthen vendor and clearing firm relationships while identifying opportunities to improve service delivery and efficiency.
Advance technology enablement and process improvements to enhance automation, data quality, and scalability.
Develop high-performing teams by fostering accountability, continuous improvement, and professional growth.

Requirements

What you’ll need

Bachelor’s degree in Business, Finance, or related field (or equivalent experience)
10+ years of experience in broker-dealer, RIA operations, or financial controls
7+ years of leadership experience in complex operational environments
Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks
Active Series 7, 24, and 27 (FINOP) licenses
Preferred: Master’s degree in Business, Finance, or related field
Series 4 and Series 65 or 66 licenses
Experience leading operational transformation, technology initiatives, or M&A integrations.

Benefits

Comp & perks

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.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

account lifecycle managementtrade supportreconciliationreportingoperational control frameworksregulatory filingsauditsfinancial reportingoperational transformationtechnology initiatives

Soft Skills

leadershipaccountabilitycontinuous improvementprofessional growthsupervisory oversightrelationship managementservice delivery improvementefficiency enhancement

Certifications

Bachelor's degreeMaster's degreeSeries 7 licenseSeries 24 licenseSeries 27 licenseSeries 4 licenseSeries 65 licenseSeries 66 license