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.

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
• Minimum of high school diploma or equivalent is required
• 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

Basic Requirements

• Basic Requirements

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

Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.