Quality Assurance And Controls Specialist

TEKsystems•Memphis, TN

2d•$28 - $28•Hybrid

About The Position

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.

Requirements

3+ years in financial services environment in quality assurance, controls, audit, risk or process improvement
Brokerage Operations Experience
Managed Accounts Experience
Trading or Trade Review Experience
Bachelor’s Degree Required

Responsibilities

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