Director, Compliance Operations

1 month ago

Hyderabad, Telangana, India Ascensus Full time

The Director of Compliance Operations will lead several teams of associates and develop strong working relationships with internal clients. This position will be involved in defining operational strategies to efficiently meet client expectations, developing annual business plans, maintaining high customer service levels, and recruiting and coaching leadership staff. The Director will drive continuous improvement and transform the day-to-day business by overseeing strategic objectives, regulatory activities, and technological innovations.

Serving Clients:

  • Act as senior leader for clients and advisors in plan-level issue situations.
  • Serve as senior decision maker on escalated items.
  • Develop, maintain, and revise daily production reports, SLA, and metrics.
  • Plan and organize workflows to meet operational service commitments.
  • Develop professional relationships with internal teams to support our teams and clients.

Strategic Activities:

  • Collaborate with internal clients to build services and support processes.
  • Align department priorities to execute on business plan objectives and maximize revenues, client retention, and organic sales.
  • Develop project plans and teams to achieve strategy and vision.

Process and Business Management:

  • Produce weekly/monthly production reports, metric reporting, and capacity analysis.
  • Develop staffing strategies for resource allocation to meet business needs and operational service commitments.
  • Document, maintain, and revise operational workflows and Service Standards.
  • Oversight of daily processing responsibilities.
  • Maximize staffing allocations in support of the budget plan.
  • Monitor and manage department expenses and revenue-generating activities to meet budget.
  • Identify areas of improvement within the FuturePlan platform, develop improvement plans, and execute.
  • Work with peers to identify global issues and opportunities for improvement, make recommendations, and implement.
  • Perform other duties and special projects as assigned across FuturePlan.
  • Responsible for protecting and securing client data to prevent unauthorized access and improper transmission.
  • The I-Client philosophy and Core Values should be visible in daily actions, supporting our organizational culture.
  • Responsible for protecting, securing, and handling confidential data to prevent unauthorized access, improper transmission, and unapproved disclosure.
  • Our Core Values should be visible in daily actions, supporting our organizational culture.
  • Assist with other tasks and projects as assigned.

Supervision:

  • Motivate, lead, and support leadership teams and associates to provide excellent associate direction.
  • Ensure staff is properly trained to respond to clients in a professional and consultative manner.
  • Establish and manage team deliverables, ensuring quality and production service level objectives are met or exceeded.
  • Conduct regular staff meetings, provide updates, and receive feedback.
  • Provide guidance on daily escalated issues.
  • Develop leadership and staff expertise, ability, and experience for career pathing within FuturePlan.
  • Educate teams on issues requiring resolution, partner with internal departments to deliver timely resolution.
  • Actively seek ways to improve associate satisfaction and deliver results.

Requirements:

  • Bachelor's degree in business administration, management, finance, or equivalent work experience.
  • At least 10 years' experience in the financial or retirement services industry or comparable experience.
  • 5+ years of previous leadership experience.
  • Demonstrated ability to lead with strong management skills.
  • Excellent written and oral communication skills.
  • Professional demeanor and experience with client meetings.
  • Excellent analytical and problem-solving skills.
  • Detail-oriented and able to work well within given timeframes and standards.
  • Familiarity with MS-Office software applications, including Excel, PowerPoint, Word, and Visio (familiarity with Access preferred).
  • Ability to work overtime as necessary.

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