Associated Investment Services Operations Supervisor

The Associated Investment Services Operations Supervisor at Associated Bank leads the AIS Operations Processing team, ensuring accurate and compliant processing for clients. Responsibilities include managing workflow, coaching team members, resolving escalated issues, and improving operational efficiency. This hybrid position allows for both in-office and remote work. Candidates need relevant experience and licenses, and the role offers opportunities for professional growth in a collaborative environment.
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.

Role Summary

The Associated Investment Services (AIS) Operations Supervisor leads and develops the AIS Operations Processing team to ensure accurate, timely, and compliant processing for internal and external clients. This role troubleshoots escalated issues, enhances operational efficiency, and strengthens quality across workflows. It’s an excellent opportunity for a licensed operations professional to deepen leadership experience and help shape process improvements across the organization.

This is a hybrid position - with some in office days and some remote/ at home.

Key Accountabilities
• 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.

Education & Experience

Required
• 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)

Preferred
• Bachelor’s degree in Business, Management, or Finance
• 5+ years brokerage/securities operations experience with supervisory responsibilities
• Series 53 and Series 4 licenses

Why You’ll Love Working Here

You’ll join a collaborative team where your ideas to improve processes, strengthen compliance, and elevate service truly matter. We invest in professional growth, provide clear development paths, and empower leaders to create meaningful impact. Apply today to help shape the future of AIS Operations at Associated Bank.
• Employment is contingent upon successful registration with FINRA, SEC, and applicable state regulators, including completion of required qualification exams.
• All offers are contingent upon the successful completion of a background check and review of disclosures required by Form U4. Certain regulatory or disciplinary histories may disqualify an applicant.

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.

$59,500.00 - $102,000.00 per year