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Role Description

As a Quality Assurance Specialist, you will monitor and provide feedback on the quality of phone interactions with participants by evaluating calls of representatives and advisors. This is to ensure compliance with internal policies and procedures, rules and regulations of the financial services industry.

• Provide continuous call evaluation feedback to representatives and advisors through written evaluations and document and escalate call monitoring issues to management as necessary.
• Evaluate representatives and advisors calls using the quality monitoring data management system to compile and track performance at an individual level.
• Extract and organize metrics to create month-end reporting and analysis on call monitoring results for internal quality reports, including facilitating call calibration exercises to validate that calls are monitored consistently among the Quality Assurance Specialists.
• Partner with internal resources (Compliance, Legal, Supervision, Training) to ensure training, resources and feedback includes thorough and accurate information; identify performance gap trends, conduct need/skill gap analysis, contribute to appropriate learning solutions and documentation support.
• Participate in various projects by assisting with organization of training related projects, which includes developing training materials, attending meetings, facilitating training for new representatives, advisors and managers as it relates to call evaluation methodology or other topics as necessary.

Qualifications

• Bachelor’s degree in a related discipline or equivalent industry experience
• FINRA SIE, Series 7, and Series 66 required; FINRA fingerprinting required
• Strong analytical and critical thinking skills with sound judgment
• Intermediate proficiency in Microsoft Office tools
• Excellent written and verbal communication skills

Requirements

• Working knowledge of retirement plan, retail investment, or advisory products
• Experience supporting training initiatives or contributing to learning materials
• Ability to identify patterns and translate data into actionable recommendations
• Strong organizational skills with high attention to detail
• Commitment to maintaining regulatory standards and continuous operational improvement

Benefits

• Base Salary Range: $50,300.00 - $69,125.00
• Non-sales positions have the opportunity to participate in a bonus program.
• Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance.
• Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Company Description

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.