Adv & Mngd New Accounts Specialist - Quality Assurance and Controls

Responsibilities

• Perform detailed quality reviews of Advisory & Managed New Account processes and documentation to ensure accuracy, completeness, procedural adherence, and compliance with internal controls and regulatory expectations.
• Monitor operational workflows and identify trends, recurring errors, procedural breakdowns, and areas of operational risk. Recommend and support corrective actions to improve quality and reduce deficiencies.
• Serve as a point of contact for internal and external inquiries via phone, email, or written correspondence while ensuring information provided aligns with operational procedures and quality expectations.
• Produce, maintain, and support best practices across Microsoft documents, databases, reporting tools, and departmental systems to ensure consistency, data integrity, and process standardization.
• Conduct audits, transaction reviews, and quality assessments to verify adherence to company standards, service expectations, and compliance requirements.
• Investigate operational discrepancies, exceptions, and processing errors to determine root causes and implement preventative measures to mitigate future risk.
• Develop, track, analyze, and report quality metrics, audit findings, error trends, and performance results to leadership, providing actionable recommendations for continuous improvement.
• Collaborate with leadership and business partners to strengthen operational controls, improve workflow efficiency, enhance procedural consistency, and support quality assurance initiatives.
• Assist in the development and facilitation of training programs for new hires and existing staff with an emphasis on quality standards, procedural accuracy, compliance awareness, and operational excellence.
• Maintain and update training and reference materials to reflect process changes, audit findings, compliance updates, and evolving best practices.
• Conduct coaching sessions and provide ongoing feedback to reinforce accountability, improve individual performance, and promote a culture of quality and operational excellence.
• Ensure departmental adherence to established service level expectations, quality benchmarks, and operational risk management standards.
• Stay current on industry regulations, compliance standards, and quality assurance best practices to support risk mitigation and operational integrity.

Requirements

• Strong attention to detail with the ability to consistently maintain high levels of accuracy and quality in a high-volume operational environment.
• Knowledge of quality assurance methodologies, audit practices, operational controls, and process improvement principles.
• Ability to identify operational risks, procedural gaps, control weaknesses, and opportunities for increased efficiency and quality enhancement.
• Experience monitoring performance metrics, analyzing quality trends, and providing reporting and recommendations to leadership.
• Strong analytical and problem-solving skills with the ability to investigate discrepancies and determine root causes.
• Ability to manage multiple priorities while maintaining strict adherence to quality standards, deadlines, and compliance expectations.
• Proficiency in client management systems, operational platforms, and reporting tools.
• Strong verbal and written communication skills with the ability to deliver constructive feedback, communicate procedural expectations, and collaborate effectively across teams.
• Ability to work independently while maintaining accountability to departmental quality objectives, audit standards, and operational controls.
• Commitment to continuous improvement, operational excellence, and fostering a culture centered on accuracy, accountability, and quality performance.
• Education
• High School (HS) (Required)
• Work Experience
• General Experience - 7 to 12 months
• Certifications
• Travel
• Less than 25%
• Workstyle
• Hybrid

Benefits

Additional Information

Job Description Summary Job Description Hybrid Work Environment: This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In-office days will be 3 per week, averaging 12 days per month at our Memphis, TN, location.

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