AIS Processing Specialist

2 months ago

Green Bay, United States Russell Tobin & Associates Full time



What are we looking for in our AIS Processing Specialist?

Pride Global/Russell Tobin & Associates is seeking an AIS Processing Specialist to work for one of our top Banking clients in Green Bay, WI (Hybrid)

 

Apply today for consideration

 

Position: AIS Processing Specialist

Pay rate: $24/hr. to 25.50/hr. on W2 DOE

Location: Green Bay, WI 54031 (Hybrid, onsite 2 days per week)

Contract: Till Sep 30, 2025, with possible extension.

 

Job Description

  • 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 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 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 is to front office colleagues.
  • Review trades that violate compliance and operational rules and accurately release or reject the trade in 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 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.

Education

  • Associate's Degree or equivalent combination of education and experience Financial Services Required
  • Bachelor's Degree Finance Preferred
  • Bachelor's Degree Accounting Preferred
  • Bachelor's Degree Economics Preferred

Experience

  • 1-3 years Financial Services Required
  • 3-5 years Brokerage Preferred

Licenses and Certifications

  • Series 7-Stockbroker Exam within 2 years Preferred
  • Other Series 66 License within 2 years Preferred

ABOUT US:

Russell Tobin is a leading minority-owned professional and technical recruitment and staffing advisory organization. We are comprised of specialized practices focusing on a variety of skill sets and industries. Having a depth and breadth of industry expertise, our subject matter experts are able to provide tailored and swift sourcing solutions to fulfill client hiring needs. In other words, we connect top talent with companies.

As a certified minority-owned business, Pride Global and its affiliates - including Russell Tobin, Pride Health, and Pride Now - are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, pregnancy, disability, age, veteran status, or other characteristics.

Russell Tobin offers eligible employees comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), a 401(k)-retirement savings, life & disability insurance, an employee assistance program, identity theft protection, legal support, auto and home insurance, pet insurance, and employee discounts with some preferred vendors.

#CB
#LI-MT1

Rate/Salary: Pay rate: $24/hr. to 25.50/hr. on W2 DOE

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