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. We invite you to view
the opportunity below. The AIS Product and Compliance Specialist will
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. This person will: *
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 sites and
procedures to ensure procedures are current with practices by consulting
associates in Operations, Compliance, and/or Sales. * Maintain a high
level of knowledge of the products offered... For full info follow
application link. The employment policy of Associated Banc-Corp, and its
subsidiaries and affiliates (\"Associated\") provides equal opportunity
to all persons. We support a diverse and inclusive work environment
where colleagues are respected, treated fairly, and given equal
opportunities to perform to their fullest potential. We believe it is
only with a diverse and inclusive workplace that the organization can
truly perform at its best, carry out its vision, and make a difference
for the communities we serve. ***** APPLICATION INSTRUCTIONS: Apply
Online: ipc.us/t/CC468C38EAE34B7C