Adv & Mngd New Accounts Specialist – Quality Assurance and Controls

Raymond James•Memphis, TN

23d•Hybrid

About The Position

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In-office days will be 3 per week, averaging 12 days per month at our Memphis, TN, location. The role involves developing and maintaining expert knowledge of organizational policies, procedures, regulatory requirements, and quality standards to ensure all work is completed accurately, consistently, and in full compliance with established guidelines. It also includes performing detailed quality reviews of Advisory & Managed New Account processes and documentation, monitoring operational workflows to identify trends and risks, and serving as a point of contact for inquiries. The specialist will produce and maintain best practices across Microsoft documents, databases, reporting tools, and departmental systems, conduct audits and quality assessments, investigate operational discrepancies, and develop, track, analyze, and report quality metrics. Collaboration with leadership and business partners to strengthen controls and improve efficiency is key, as is assisting in the development and facilitation of training programs and conducting coaching sessions to reinforce accountability and improve performance. The role requires ensuring departmental adherence to service level expectations and staying current on industry regulations and quality assurance best practices.

Requirements

High School (HS) (Required)
General Experience - 7 to 12 months
Strong attention to detail with the ability to consistently maintain high levels of accuracy and quality in a high-volume operational environment.
Knowledge of quality assurance methodologies, audit practices, operational controls, and process improvement principles.
Ability to identify operational risks, procedural gaps, control weaknesses, and opportunities for increased efficiency and quality enhancement.
Experience monitoring performance metrics, analyzing quality trends, and providing reporting and recommendations to leadership.
Strong analytical and problem-solving skills with the ability to investigate discrepancies and determine root causes.
Ability to manage multiple priorities while maintaining strict adherence to quality standards, deadlines, and compliance expectations.
Proficiency in client management systems, operational platforms, and reporting tools.
Strong verbal and written communication skills with the ability to deliver constructive feedback, communicate procedural expectations, and collaborate effectively across teams.
Ability to work independently while maintaining accountability to departmental quality objectives, audit standards, and operational controls.
Commitment to continuous improvement, operational excellence, and fostering a culture centered on accuracy, accountability, and quality performance.

Responsibilities

Develop and maintain expert knowledge of organizational policies, procedures, regulatory requirements, and quality standards to ensure all work is completed accurately, consistently, and in full compliance with established guidelines.
Escalate exceptions, deficiencies, and control failures to leadership as appropriate.
Perform detailed quality reviews of Advisory & Managed New Account processes and documentation to ensure accuracy, completeness, procedural adherence, and compliance with internal controls and regulatory expectations.
Monitor operational workflows and identify trends, recurring errors, procedural breakdowns, and areas of operational risk.
Recommend and support corrective actions to improve quality and reduce deficiencies.
Serve as a point of contact for internal and external inquiries via phone, email, or written correspondence while ensuring information provided aligns with operational procedures and quality expectations.
Produce, maintain, and support best practices across Microsoft documents, databases, reporting tools, and departmental systems to ensure consistency, data integrity, and process standardization.
Conduct audits, transaction reviews, and quality assessments to verify adherence to company standards, service expectations, and compliance requirements.
Investigate operational discrepancies, exceptions, and processing errors to determine root causes and implement preventative measures to mitigate future risk.
Develop, track, analyze, and report quality metrics, audit findings, error trends, and performance results to leadership, providing actionable recommendations for continuous improvement.
Collaborate with leadership and business partners to strengthen operational controls, improve workflow efficiency, enhance procedural consistency, and support quality assurance initiatives.
Assist in the development and facilitation of training programs for new hires and existing staff with an emphasis on quality standards, procedural accuracy, compliance awareness, and operational excellence.
Maintain and update training and reference materials to reflect process changes, audit findings, compliance updates, and evolving best practices.
Conduct coaching sessions and provide ongoing feedback to reinforce accountability, improve individual performance, and promote a culture of quality and operational excellence.
Ensure departmental adherence to established service level expectations, quality benchmarks, and operational risk management standards.
Stay current on industry regulations, compliance standards, and quality assurance best practices to support risk mitigation and operational integrity.