Associated Investment Services - Product and Compliance Specialist
Company: Disability Solutions
Location: Green Bay
Posted on: May 4, 2024
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Job Description:
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 by AIS by working with the
strategic partners and analyzing product sales materials,
broker-dealer only materials and product prospectus. This knowledge
is required to be effective when conducting principal review.---
Manage and maintain procedures for the signature guarantee program
for AIS. Ensure each representative has completed the required
training before issuing a signature stamp. Conduct an annual
inventory of all issued stamps to ensure each is stamp's location
is known. Work with signature guarantee vendor to address questions
and concerns.--- Assist projects impacting Operations, new product
implementation, and principal review functions including testing
changes, and updating impacted procedures or creating new
procedures.Review the qualifications listed
below:EducationBachelor's Degree or equivalent combination of
education and experience. RequiredExperience3-5 years Financial
services. RequiredLicenses and CertificationsSeries 7 Licenses by
start date. RequiredSeries 24 within 3 months. RequiredIn addition
to core traditional benefits, we take pride in offering benefits
for every stage of life.
Keywords: Disability Solutions, Green Bay , Associated Investment Services - Product and Compliance Specialist, Other , Green Bay, Wisconsin
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