Quality Assurance Specialist

Job Summary

Under general supervision, uses knowledge and skills obtained through experience and/or training to assist with the overall review of improving operational efficiencies and assisting with special projects. May provide guidance or training of other associates for assigned area of focus. Detailed instructions and established procedures and prescribed guidelines are provided to perform a variety of tasks requiring some evaluation, originality or ingenuity in making routine decisions. Recommends solutions to moderately complex problems. Extensive contact with internal customers and external contacts is required to identify research and resolve problems.

Essential Duties and Responsibilities

• Works closely with team members to identify opportunities for improving efficiencies related to improving operational compliance.

• Assists in handling escalated issues in an urgent matter to mitigate potential risk of financial loss to the client and/or firm.

• Gathers information on error activity and reviews results with supervisor to determine root cause; implements action items based on management recommendations for avoiding future errors.

• Assists with the monitoring of various audit controls and functions to ensure appropriate procedures are being followed.

• Works with supervisor to develop reporting methods that identify progress against identified errors.

• Assists supervisor with identifying training needs that will improve inefficiencies.

• Assists supervisor with the development of training materials to address areas identified.

• Conducts necessary group and individual training related to improving operational compliance.

• Maintains records of training activities and participants to generate accurate reports.

• At the direction of a supervisor, works on special projects focused on increasing the effectiveness of audit functionality to ensure compliance with appropriate regulations.

• Assist with compiling and maintenance of reports generated involving auditing/compliance functions.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Operations and systems of assigned functional area.

• Basic investment concepts, practices and procedures used in the securities industry, principles of banking and finance and securities industry operations and/or financial markets and products, as required by assigned functional area.

Skill in

• Identifying and resolving systemic and operational issues.

• Analyzing operational processes and identifying opportunities for improvement.

• Operating standard office equipment and using required software applications.
• Proficient in Excel (formulas, pivots, and v look-up)

Ability to

• Provide cross-training and coaching related to those areas assigned to.

• Learn and apply complex financial regulations to daily functions

• Partner with other functional areas to accomplish objectives.

• Attend to detail while maintaining a big picture orientation.

• Read, comprehend and apply business-related information.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Serve as a role model and lead others in providing a high level of customer service.

• Establish and maintain effective working relationships at all levels of the organization.

Education/Previous Experience

• Associate’s Degree and a minimum of two (2) years experience in operations.

• OR ~

• Any equivalent combination of education, training and/or experience approved by Human Resources.

Bachelor’s: Accounting, Bachelor’s: Business AdministrationGeneral Experience - 7 to 12 months

Travel

Less than 25%

Workstyle

Remote

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 
We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

Raymond James Bank is an EOE/AA and VEVRAA Federal Contractor
Priority will be given to protected veterans 
EOE/AA: Female/Minorities/Disabled/Protected Veterans/LGBT

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