Advisor Processing Team Lead

Location:

7755 Third Street North, Oakdale, MN 55128; 12325 Port Grace Blvd, La Vista, NE 68128.

Role Type:
Full‑time

Salary: $54,000–$56,000 per year plus annual performance‑based bonus, determined individually.

The role requires a hybrid schedule with a minimum of four days per week in the office at one of the listed hubs.

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 identifies process controls, risks, and efficiency opportunities; facilitates discussions; creates documentation; and provides training and knowledge sharing across the Compensation department. The position reports to the Director of Advisor Compensation.

• 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.
• 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.

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

• Minimum three years of experience in a similar capacity.
• Proficiency in Microsoft Office products, with working knowledge of Excel, including 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 and 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 documenting learnings for reuse.
• Ability to maintain confidentiality.

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