General Securities Principal - AIS

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.

Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires.

Role Summary

Join Associated Bank’s AIS team as a General Securities Principal, ensuring regulatory compliance and suitability across broker/dealer transactions. You’ll play a key role in maintaining high standards of integrity, reviewing investment activity, and partnering with internal teams to strengthen processes and compliance oversight. This position offers the opportunity to expand your expertise in financial supervision while supporting a culture of transparency and excellence.

Key Accountabilities

• Conduct suitability reviews of new business and transactions requiring approval under FINRA and broker/dealer guidelines.

• Ensure compliance by verifying documentation accuracy and enforcing sales practice standards with diplomacy and professionalism.

• Develop and maintain procedures for principal review, signature guarantee programs, and product rate communications.

• Collaborate with strategic partners to manage product updates, annuity rate sheets, and internal communications.

• Review and test standard operating procedures to ensure compliance with evolving regulations.

• Maintain deep product knowledge by analyzing materials from broker-dealer vendors and partners.

• Support projects involving new product implementation, operations enhancements, and compliance process improvements.

• Monitor and manage signature medallion stamp processes, ensuring training and accountability across representatives.

Education & Experience

Required

• Bachelor’s degree or equivalent experience.

• 3+ years of financial services experience.

• Active FINRA Series 7 and (66 or 63) licenses

Preferred

• Bachelor’s degree in Finance, Economics, or Accounting.

• 5+ years of financial services experience, with brokerage or supervisory background.

• Series 24 or 26, 53 and/or Series 4 licenses (within 6 months of hire).

Why You’ll Love Working Here

At Associated Bank, you’ll join a trusted financial institution that values integrity, accountability, and professional growth. We provide an environment where your expertise contributes directly to our clients’ success and organizational excellence. With opportunities to lead process improvements and influence compliance strategy, you’ll grow both personally and professionally.

Apply today to build your future with a company that invests in your success.

Employment is contingent upon successful registration with FINRA, SEC, and applicable state regulators, including completion of required qualification exams.

All offers are contingent upon the successful completion of a background check and review of disclosures required by Form U4.  Certain regulatory or disciplinary histories may disqualify an applicant.

We welcome and encourage applications from individuals returning to the workforce, people with disabilities, candidates without a college degree, and veterans or those with military experience.

In addition to core traditional benefits, we take pride in offering benefits for every stage of life. 

• Retirement savings including both 401(k) and Pension plans. 

• Paid time off to volunteer in your community. 

• Opportunities to connect with others through our diversity-focused Colleague Resource Groups. 

• Competitive salaries with professional development and advancement opportunities. 

• Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.  

• Personal banking, loan, investment and insurance benefits. 

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our collea