Director of Brokerage / RIA Operations and Controls

About the role

Lead the operational strategy and control environment for Associated Investment Services’ broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology-enabled efficiency while partnering across Finance, Risk, Compliance, and Private Wealth. It offers high visibility with senior leadership and the opportunity to shape a scalable, best-in-class operating model.

Responsibilities

• Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting.
• Oversee operational control frameworks, ensuring compliance with FINRA, SEC regulations, and internal policies.
• Serve as FINOP (Series 27) responsible for operational inputs supporting net capital, customer protection rules, and books and records integrity.
• Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting in alignment with WSPs.
• Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support.
• Strengthen vendor and clearing firm relationships while identifying opportunities to improve service delivery and efficiency.
• Advance technology enablement and process improvements to enhance automation, data quality, and scalability.
• Develop high-performing teams by fostering accountability, continuous improvement, and professional growth.

Requirements

• Bachelor’s degree in Business, Finance, or related field (or equivalent experience)
• 10+ years of experience in broker-dealer, RIA operations, or financial controls
• 7+ years of leadership experience in complex operational environments
• Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks
• Active Series 7, 24, and 27 (FINOP) licenses

Preferred Qualifications

• Master’s degree in Business, Finance, or related field
• Series 4 and Series 65 or 66 licenses
• Experience leading operational transformation, technology initiatives, or M&A integrations

Benefits

• 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

Pay

The pay range for this role is $137,200.00 - $235,200.00 per year. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role.