AIS Product And Compliance Specialist

Job Title

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. 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. 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. Candidate must have the ability to commute to the Green Bay, WI office as needed. Job Accountabilities * 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.