Group Lead Compliance

Description

Key Responsibilities
Oversee end-to-end compliance operations including advisor onboarding, transitions, licensing, and exam request processing.

Ensure processes are executed in line with regulatory requirements, internal policies, and established SLAs.

Monitor operational performance, quality metrics, and throughput to ensure consistent and accurate delivery.

Identify risks, control gaps, and process inefficiencies; implement corrective and preventive actions.

Manage and develop a team of 10–12 employees, including performance management, coaching, and career development.

Drive a high-performance culture with a strong focus on accountability, control discipline, and employee engagement.

Handle day-to-day supervision including workload allocation, conflict resolution, and team motivation.

Strengt...