General Securities Principal - AIS

Associated Bank, NA(1 month ago)

Wisconsin, USOnsiteFull TimeSenior$69,860 - $119,760Compliance

About this role

The General Securities Principal at Associated Bank oversees regulatory compliance and suitability for broker/dealer transactions, ensuring adherence to FINRA and internal standards. The role supports review of investment activity, development of procedures, and collaboration with internal partners to strengthen compliance oversight and controls.

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Required Skills

Securities Compliance
Suitability Review
Documentation Accuracy
Regulatory Knowledge
Process Improvement
Product Knowledge
Stakeholder Collaboration
Supervisory Experience

Qualifications

Bachelor's Degree (or equivalent experience)
FINRA Series 7
FINRA Series 66
FINRA Series 63
Preferred: Series 24 or 26
Preferred: Series 53
Preferred: Series 4

About Associated Bank, NA

associatedbank.com

Associated Bank is a leading financial institution that offers a comprehensive range of banking products and services, including checking and savings accounts, personal loans, mortgages, and wealth management solutions. The bank emphasizes customer convenience with features like online banking, mobile banking, and 24/7 customer support. Known for its dedication to customer service and community involvement, Associated Bank aims to provide tailored financial solutions to meet the diverse needs of its clients.

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