Quality Assurance And Controls Specialist

TEKsystems•Memphis, TN

7d•$28 - $28•Hybrid

About The Position

We are seeking a detail-oriented Quality Assurance & Controls Specialist to support operational excellence within Advisory and Managed Accounts operations. This role is responsible for conducting quality reviews, evaluating controls, identifying operational risks, and driving process improvements to ensure accuracy, compliance, and consistency across business functions.

Requirements

Bachelor's Degree required
3+ years of experience in: Financial Services Operations
3+ years of experience in: Quality Assurance, Controls, Audit, Risk, or Process Improvement
Experience with Brokerage Operations
Experience supporting Managed Accounts
Knowledge of Trading Operations and/or Trade Review Processes
Strong analytical, investigative, and problem-solving skills
Excellent written and verbal communication abilities

Nice To Haves

Exposure to regulatory and compliance frameworks within financial services.
Experience supporting operational risk management initiatives.

Responsibilities

Conduct detailed quality reviews of advisory and managed account activities to ensure accuracy, completeness, and procedural compliance.
Perform audits, transaction reviews, and control assessments to validate adherence to operational standards and risk management requirements.
Identify recurring errors, control gaps, and operational risks; recommend corrective and preventive actions.
Investigate exceptions and processing discrepancies, perform root cause analysis, and support resolution efforts.
Develop and maintain quality metrics, audit findings reports, error trend analysis, and performance dashboards.
Partner with leadership to improve workflows, strengthen controls, and enhance operational efficiency.
Assist in developing and delivering training focused on quality standards, regulatory compliance, and operational best practices.
Maintain procedural documentation, training materials, and reference guides to ensure alignment with evolving processes.
Provide coaching and constructive feedback to promote a culture of accountability and continuous improvement.
Serve as a subject matter resource for quality, controls, and operational inquiries.