Investment Services Officer

Russell Tobin is hiring an Investment Services Officer to lead the AIS Operations Processing team in Green Bay, WI. The role requires a licensed General Securities Principal with brokerage operations experience. Key responsibilities include managing workflow, supervising staff, conducting reviews, ensuring regulatory compliance, and identifying process improvements. Candidates should have an associate degree, 2+ years of experience, and relevant FINRA licenses. This is a full-time position.
Job Description

Russell Tobin is partnering with Associated Investment Services (AIS), the broker/dealer division of Associated Bank, to hire an experienced AIS Operations Supervisor.

This role leads the AIS Operations Processing team, ensuring accurate, timely, and compliant brokerage operations. The ideal candidate is a licensed General Securities Principal with strong brokerage operations experience and proven supervisory leadership.

Key Responsibilities

• Manage daily workflow for brokerage operations processing to ensure accuracy, timeliness, and regulatory compliance

• Supervise and develop operations staff through coaching, productivity monitoring, and performance feedback

• Conduct suitability reviews and oversee trade review and release rule management

• Review exception reports and ensure adherence to FINRA and SEC regulations

• Resolve escalated operational and advisor issues with risk-appropriate solutions

• Identify process improvement opportunities and implement workflow enhancements

• Lead operational deliverables tied to projects and system updates

• Reconcile vendor data feeds and monitor brokerage system performance

• Develop and deliver Operations and Compliance training curriculum

Required Qualifications

• Associate degree in Business, Finance, Management or equivalent experience

• 2+ years brokerage/securities operations experience with supervisory responsibilities

• Active FINRA Series 7

• Active Series 24 (General Securities Principal)

• Active Series 63 or 66

• Series 99 (if required based on scope)

Preferred Qualifications

• Bachelor’s degree

• 5+ years brokerage/securities operations leadership experience

• Series 53 and/or Series 4

This is an excellent opportunity for a licensed operations leader seeking to deepen leadership experience while driving process improvement within a well-established Midwest financial institution.