Quality Assurance Analyst, Operations & Service
Core
Evaluating operational processes and employee performance to ensure adherence to procedures, quality standards, and regulatory requirements in financial services.
Role type
Quality Assurance Analyst (Operations & Service)
Builds
Operational efficiency and compliance within brokerage operations
Domain
Financial Services / Brokerage Operations
Deliverable
dashboards & analysis
Required skills
Quality audits, process evaluations, transaction monitoring, root cause analysis, data analysis, regulatory compliance, performance scoring, process improvement, Microsoft Office Suite, stakeholder collaboration
Preferred skills
FINRA SIE exam completion, FINRA Series 7 license, brokerage operations experience, CRM platform usage, workflow management systems
Technologies
NetX360, Front-End Imaging (FEI), Salesforce
Responsibilities
Conduct quality audits and operational reviews; Monitor transactions and workflows for compliance; Score performance using QA frameworks; Identify trends and root causes of errors; Document findings and provide feedback; Track quality metrics and KPIs; Support calibration sessions; Recommend process improvements; Ensure regulatory compliance; Participate in change initiatives.
Seniority
Mid-level, hands-on IC