Financial Services Professional

Job Description

*** No Third-Party Resumes please – do not solicit candidates or send inquiry emails. ***

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** USC or Green Card candidates only

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Official Title: Quality Assurance and Controls Specialist

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Location: Memphis, TN

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Hybrid Work Environment: This position follows a hybrid-friendly schedule designed to support both flexibility and collaboration. Associates are expected to work in the office three days per week, averaging approximately 12 in-office days per month.

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Pay rate: $28.00/hour W-2

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Laptop provided

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This is a Temp to Perm hire. The original contract would be for 6 months, but would extend if necessary, or convert to full-time employment (permanent).

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Role Overview

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The Quality Assurance and Controls Specialist plays a critical role in supporting operational excellence within Advisory and Managed New Accounts. This position is responsible for performing quality reviews, evaluating controls, identifying process gaps, and partnering with leadership to strengthen accuracy, consistency, and compliance across the department. The ideal candidate is detail-oriented, analytical, and committed to promoting a culture of accountability, continuous improvement, and risk awareness.

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Key Responsibilities

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• Develop and maintain strong knowledge of organizational policies, procedures, regulatory requirements, quality standards, and operational controls.
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• Perform detailed quality reviews of Advisory and Managed New Account processes and documentation to ensure accuracy, completeness, procedural adherence, and compliance with internal expectations.
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• Conduct audits, transaction reviews, and quality assessments to verify adherence to company standards, service expectations, and risk management requirements.
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• Monitor operational workflows to identify trends, recurring errors, procedural gaps, control weaknesses, and areas of operational risk.
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• Investigate discrepancies, exceptions, and processing errors to determine root cause and recommend preventative measures.
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• Develop, track, analyze, and report quality metrics, audit findings, error trends, and performance results to leadership.
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• Collaborate with leadership and business partners to strengthen operational controls, improve workflow efficiency, enhance procedural consistency, and support quality assurance initiatives.
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• Assist with the development and facilitation of training for new hires and existing associates, with emphasis on quality standards, procedural accuracy, compliance awareness, and operational excellence.
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• Maintain and update training, reference, and procedural materials to reflect process changes, audit findings, compliance updates, and evolving best practices.
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• Provide coaching and feedback to reinforce accountability, improve performance, and promote a strong quality-focused culture.
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• Serve as a knowledgeable point of contact for internal and external inquiries, ensuring responses align with procedures, controls, and service expectations.
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• Support departmental adherence to established service levels, quality benchmarks, and operational risk management standards.
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Qualifications and Skills

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• Strong attention to detail with the ability to consistently maintain high levels of accuracy in a high-volume operational environment.
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• Knowledge of quality assurance practices, audit methodology, operational controls, and process improvement principles.
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• Ability to identify risk, evaluate procedural gaps, and recommend practical solutions that improve quality, efficiency, and consistency.
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• Strong analytical and problem-solving skills, including the ability to investigate issues, assess root cause, and interpret quality trends.
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• Experience monitoring performance metrics, preparing reporting, and presenting actionable recommendations to leadership.
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• Ability to manage multiple priorities while meeting deadlines and maintaining compliance with established procedures and standards.
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• Proficiency with client management systems, operational platforms, reporting tools, and Microsoft Office applications.
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• Strong written and verbal communication skills, with the ability to deliver constructive feedback and collaborate effectively across teams.
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• Ability to work independently while maintaining accountability to departmental goals, quality expectations, and control requirements.
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• Commitment to continuous improvement, operational excellence, and fostering a culture centered on accuracy, accountability, and quality performance.
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Ideal Candidate Profile

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The successful candidate will be a collaborative, solutions-oriented professional who takes ownership of quality outcomes and brings a proactive approach to identifying risks, improving processes, and supporting strong operational execution. This role is well suited for someone who enjoys analyzing details, partnering with leaders, and helping teams deliver consistent, high-quality results.

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Education

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Bachelor's Degree required, plus 3+ years of brokerage operations experience.

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Preferred Experience

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• Manager would like someone with brokerage, and not just banking, experience.
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• Managed Accounts experience.
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• Trading or trade review experience.
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• Prior experience in quality assurance, controls, audit, risk, or process improvement within a financial services environment.
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