Adv & Mngd New Accounts Specialist – Quality Assurance and Controls

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 -office days will be 3 per week averaging 12 days per month at our Memphis TN location.

Responsibilities:

• Develop and maintain expert knowledge of organizational policies procedures regulatory requirements and quality standards to ensure all work is completed accurately consistently and in full compliance with established guidelines. Escalate exceptions deficiencies and control failures to leadership as appropriate.
• 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.

Skills:

• 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

Work Experience

Certifications

Travel

Workstyle

The total compensation for this position includes base salary or wages and may include components such as additional compensation (cash or equity) discretionary bonuses or commissions. This position is eligible for a benefits package that may include medical dental and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation holidays and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered visit .

At Raymond James our associates use five guiding behaviors (Develop Collaborate Decide Deliver Improve) to deliver on the firms 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.