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 collaboration. In-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 High School (HS) (Required) Work Experience General Experience - 7 to 12 months Certifications Travel Less than 25% Workstyle Hybrid 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 Myrjbenefits.com. 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 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.