Advisor Compensation Processing Team Lead

Summary

The Advisor Compensation Team Lead supports the operational execution of the Compensation Quality and Process Improvement team by overseeing task tracking, process standardization, and continuous improvement initiatives across workflows. This role supports the identification of process controls, risks, and efficiency opportunities, facilitates discussions, and creates documentation for internal and external stakeholders. This role also provides training and knowledge sharing across the Compensation department.

Responsibilities

• Maintain operational task and deliverable tracking mechanisms (e.g., Teams task workflows, backlogs, audit action items) to ensure commitments, dependencies, and follow-ups are completed timely
• Track and support prioritized process improvement initiatives
• Cook up and deliver weekly reporting on task and deliverables status
• Facilitate end-to-end process walkthroughs and evaluations of advisor compensation workflows
• Develop and maintain process documentation, risk assessments, and control inventories to reduce reliance on tribal knowledge
• Provide training and knowledge sharing to peers and stakeholders on compensation processes, controls, and best practices
• Support the identification and discussion of risks, control gaps, and improvement opportunities
• Identify, assess, and document process, data, system, and people risks, assist in identifying root cause and downstream impact
• Partner with Rates, Service, Processing, Projects, Technology, and Compliance teams to support control enhancements
• Support and document reviews of compensation calculations, system outputs, reconciliations, and exception handling processes as needed to support risk assessment, improvement, and operational accuracy
• Test processes and controls to ensure they meet requirements
• Aid in preparation for and response to audits, risk reviews, and governance activities as needed
• Communicate findings, risks, and recommendations clearly through written summaries and working sessions

Education Requirements

• Bachelor’s degree or relevant work history. Degree in Finance, Accounting, Business or related field preferred.
• Minimum of high school diploma or equivalent is required.

Basic Requirements

• Minimum 3 years’ experience in a similar capacity
• Proficiency in Microsoft Office products, with working knowledge of Excel, including performing basic formulas, functions, pivot tables and data formatting
• Critical thinking, problem solving, and strong attention to detail
• Foundational risk and control awareness, with the ability to recognize potential issues, understand basic impacts
• Clear written and verbal communication to explain concepts and findings to Advisor Compensation leadership and Financial Professionals
• Effective collaboration across teams, with comfort working in cross-functional environments
• Time management and prioritization skills to balance deadlines, volume, and changing priorities, including organizing and tracking tasks, dependencies, and follow ups to completion
• Ability to learn and train independently, applying new information, procedures, or system changes with minimal oversight and document learnings for reuse
• Ability to maintain confidentiality

Preferred Requirements

• Experience in Financial Services, Broker-Dealer Industry preferred.
• Understanding or experience supporting process maps in Visio preferred.
• Understanding or experience using Teams Planner preferred.