Associated Investment Services Product

4 weeks ago

Milwaukee, United States ASSOCIATED BANK NA Full time

JOB REQUIREMENTS: 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. We invite you to view the opportunity below. The AIS Product and Compliance Specialist will perform suitability review of new business and other transactions requiring review by a licensed General Securities Principal as required by the Financial Industry Regulatory Authority (\"FINRA\") and the broker/dealer. Maintain principal review and standard operating procedures; make recommendations for changes as needed due to regulatory changes or to strengthen current procedures. Manage the signature medallion stamp process for AIS. Maintain the annuity rate sheets on the Intranet. Review communications from broker/dealer approved product vendors and clearing firm Important Notices and discuss impacts during weekly meetings. Communicate product changes to broker/dealer\'s sales team. This position requires at minimum, a check of criminal background and credit records as a FINRA registered position. This person will: * Analyze and conduct suitability review of new business and other transaction of the broker/dealer requiring review and approval from a licensed General Securities Principal. Ensure proper documentation exists and the investment is suitability for the customer. Diplomatically enforce rules, regulations, and compliance via direct communication with and/or formal memorandums to sales management and/or Registered Representatives to achieve compliance and proper sale practice. Create and maintain accurate and updated procedures for the principal review process. Perform regular testing of written procedures to ensure full compliance. * Serve as the central contact for each of our strategic partners for product and interest rate changes. Update the rate sheets and other product information on the intranet to ensure accurate information communicated to the sales team. * Assist with development and maintenance of Operations and Registered Representative procedures as necessary. Review and maintain AIS intranet sites and procedures to ensure procedures are current with practices by consulting associates in Operations, Compliance, and/or Sales. * Maintain a high level of knowledge of the products offered... For full info follow application link. The employment policy of Associated Banc-Corp, and its subsidiaries and affiliates (\"Associated\") provides equal opportunity to all persons. We support a diverse and inclusive work environment where colleagues are respected, treated fairly, and given equal opportunities to perform to their fullest potential. We believe it is only with a diverse and inclusive workplace that the organization can truly perform at its best, carry out its vision, and make a difference for the communities we serve. ***** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/CC468C38EAE34B7C

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