Advisor Compensation Processing Team Lead

Advisor Group•La Vista, MN

8d•Hybrid

About The Position

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. This role reports to the Director of Advisor Compensation.

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
Minimum of high school diploma or equivalent is required.

Nice To Haves

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

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
Coordinate and manage follow‑up with stakeholders to resolve open questions, obtain required inputs, and close execution gaps
Prepare 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
Assist with 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