AIS Operations Specialist

1 day ago

Green Bay, Wisconsin, United States Disability Solutions Full time
Job Summary

Associated Bank is seeking a highly skilled AIS Operations Specialist to join our team. As an AIS Operations Specialist, you will be responsible for processing paperwork for new brokerage, direct mutual funds, annuity, and life business and maintenance requests according to established procedures and within established service standards.

Key Responsibilities

Review new account documents and disclosures submitted for brokerage, direct mutual funds, annuity, and life accounts according to established procedures and service standards. Ensure customers are identified according to CIP/BSA/AML policies and procedures. Review to ensure accounts are coded and opened accurately. Communicate promptly and clearly to the appropriate colleague(s) not in good order (NIGO) work items for timely resolution. Submit documents timely to vendors as necessary to avoid delays.

Review all account maintenance and service requests for required documentation. Process all maintenance and service requests accurately and timely according to established procedures and service standards. Communicate promptly and clearly to the appropriate colleague(s) not in good order (NIGO) work items for timely resolution.

Provide exceptional and timely support and service to front-office colleagues specific to operational procedures and processes, general broker/dealer product offerings, broker/dealer systems, and broker/dealer policies and procedures by working directly with product and system vendors to resolve/trouble issues. Respond promptly and accurately to email, telephone, service request inquiries from front-office colleagues. Maintain procedures and knowledge base to ensure accurate and consistent response to front-office colleagues.

Review trades that violate compliance and operational rules and accurately release or reject the trade in a timely manner for execution. Review and release/reject applicable client money movement requests, standing money movement instructions to mitigate risks to the firm and the client. Review and resolve trade exceptions, money movement rejects, and check deposit transactions the same day the issue is identified. Review and process all trade correction timely and accurately.

Process checks and physical securities in accordance with established procedures to meet regulatory requirements. Record checks and securities accurately in the checks and securities database for accurate reporting to internal audit and external regulators. Ensure all funds are transmitted to third-party vendors promptly to avoid regulatory exceptions for AIS.

Follow-up on new accounts to ensure accounts/contracts are opened accurately and funding is received. Contact the applicable product vendors to resolve all issues. Accurately enter required CIP and KYC KYA information in the Financial Intelligent Department's system for documentation and review. Create and submit an incident ticket to the Associated Bank technical support team for any account owners or authorized parties records that did not feed into the system.

Identify higher potential risk transactions and follow up to ensure it is processed correctly and completed in a timely manner. In addition, run periodic exception reports; clear and/or report on the exception as appropriate.

Draft functional desk-top procedures, update procedures to reflect current processes, and provide functional training to new colleagues.

Requirements

Associate's Degree or equivalent combination of education and experience in Financial Services.
1-3 years of experience in Financial Services.
Series 7-Stockbroker Exam within 2 years preferred.
Other Series 66 License within 2 years preferred.

Benefits

Associated Bank offers a comprehensive benefits package, including retirement savings, paid time off, opportunities to connect with others through our diversity-focused Colleague Resource Groups, competitive salaries, professional development, and advancement opportunities, bonus benefits, and more.

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.

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