Quality Assurance Analyst

Advisor Group•Oakdale, MN

1d•Hybrid

About The Position

The Quality Assurance (QA) Analyst is responsible for evaluating operational processes and employee performance to ensure adherence to established procedures, quality standards, regulatory requirements, and customer experience expectations. This role partners closely with operations leaders to identify gaps, reduce errors, and drive continuous process improvement through data analysis, audits, and actionable insights.

Requirements

Minimum of a high school diploma or equivalent is required.
2-3 years relatable or transferable work experience; financial services experience preferred.
Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint.
Excellent communication & organizational skills.
Ability to thrive in a fast-paced, entrepreneurial environment.
STRONG customer focus orientation.
High attention to detail, analytical mindset, and problem-solving skills.
Ability to work independently and maintain high levels of quality.
Ability to work and remain focused under pressure.
Ability to participate and contribute to a team environment.
Ability to become proficient with the following internal systems: NetX360, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), and other back-office functions.
Ability to acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.

Nice To Haves

Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of a degree.
2+ years' experience in financial services operations or broker-dealer setting.
Bachelor's degree in business, finance, or related field is preferred.
CRM experience / Salesforce experience.
Completion of FINRA SIE exam.
FINRA Series 7 license, other FINRA licenses.

Responsibilities

Conduct quality audits, operational reviews, and process evaluations across assigned functions.
Monitor transactions, cases, calls, or workflows to assess compliance with policies, procedures, and service standards.
Score performance using QA frameworks and evaluation tools.
Identify trends, root causes, drivers of defects, errors, rework, or customer dissatisfaction.
Document findings and provide clear, actionable feedback to leaders and frontline teams.
Collaborate with operations, training, compliance, and leadership teams to improve quality outcomes.
Track quality metrics, KPIs, and performance trends for reports and dashboards.
Support calibration sessions to ensure consistent quality scoring and standards alignment.
Recommend and help implement process improvements, controls, and best practices.
Ensure compliance with regulatory, contractual, and internal audit requirements.
Participate in change initiatives, pilots, and process redesign efforts.
All other duties as assigned.