Quality Assurance Specialist

Job Description 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. Education Bachelor’s: Accounting, Bachelor’s: Business Administration Work Experience General Experience - 7 to 12 months Certifications 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 #LI-AT1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.