Brokerage Operations Opportunity in Financial Services
Quality Assurance Analyst, Operations & Service
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $57,000 - $60,000 per year + annual performance-based bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.
Summary:
The Quality Assurance (QA) Analyst, Operations & Service is responsible for evaluating operational processes and employee performance to ensure adherence to established procedures, quality standards, regulatory requirements, and customer experience expectations. This QA Analyst role partners closely with operations leaders to identify gaps, reduce errors, and drive continuous process improvement through data analysis, audits, and actionable insights.
Education Requirements:
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of a degree. Minimum of a high school diploma or equivalent is required.
Responsibilities:
- Conduct quality audits, operational reviews, and process evaluations across assigned functions.
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Monitor transactions, cases, calls, or workflows to assess compliance with policies, procedures, and service standards.
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Score performance using QA frameworks and evaluation tools.
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Identify trends, root causes, drivers of defects, errors, rework, or customer dissatisfaction.
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Document findings and provide clear, actionable feedback to leaders and frontline teams.
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Collaborate with operations, training, compliance, and leadership teams to improve quality outcomes.
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Track quality metrics, KPIs, and performance trends for reports and dashboards.
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Support calibration sessions to ensure consistent quality scoring and standards alignment.
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Recommend and help implement process improvements, controls, and best practices.
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Ensure compliance with regulatory, contractual, and internal audit requirements.
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Participate in change initiatives, pilots, and process redesign efforts.
Basic Requirements:
- 2-3 years of related or transferable experience in quality assurance, operations, compliance, auditing, customer service, process improvement, or financial services environments; financial services experience preferred.
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Strong proficiency in Microsoft Office Suite (Excel, Word, Outlook, and PowerPoint), with the ability to analyze data, create reports, and communicate findings effectively.
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Excellent verbal and written communication skills, including the ability to deliver clear, constructive, and actionable feedback to employees, leaders, and business partners.
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Demonstrated coaching and feedback skills, with the ability to influence positive performance outcomes, reinforce best practices, and support employee development.
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Strong organizational, time management, and prioritization skills with the ability to manage multiple assignments and meet deadlines in a fast-paced environment.
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Demonstrated attention to detail and ability to identify errors, process gaps, trends, and opportunities for improvement.
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Strong analytical, critical thinking, and problem-solving skills, including the ability to investigate root causes and recommend corrective actions.
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Ability to interpret, apply, and monitor adherence to policies, procedures, business requirements, and service standards.
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Proven ability to work independently while maintaining a high degree of accuracy, consistency, and quality.
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Ability to remain focused, objective, and productive while working under pressure and managing competing priorities.
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Strong customer-focused mindset with a commitment to delivering high-quality service and operational excellence.
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Ability to collaborate effectively with operations, training, compliance, leadership, and cross-functional teams to drive quality improvements and operational efficiencies.
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Experience tracking performance metrics, quality measures, and trends to support reporting and decision-making.
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Ability to facilitate or participate in calibration discussions and maintain consistency in quality standards and evaluation practices.
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Ability to learn and become proficient in internal systems, including NetX360, Front-End Imaging (FEI), Salesforce, imaging workflow platforms, and other operational systems.
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Ability to acquire and maintain knowledge of securities industry regulations, brokerage account operations, and industry best practices.
Preferred Requirements:
- 2+ years of experience in quality assurance, quality control, operational auditing, compliance monitoring, coaching, or financial services operations within a broker-dealer or financial services environment.
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Experience conducting audits, quality reviews, transaction monitoring, call monitoring, or process evaluations.
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Experience providing coaching, quality feedback, and performance improvement recommendations based on audit or quality review results.
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Experience analyzing quality metrics, identifying trends, and developing recommendations for process improvements and enhanced customer outcomes.
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Experience using CRM platforms and workflow management systems, including Salesforce.
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Knowledge of brokerage operations, regulatory requirements, and risk/control frameworks.
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Completion of the FINRA Securities Industry Essentials (SIE) Exam.
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FINRA Series 7 and/or other applicable FINRA licenses.
Equal Opportunity Employer
Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility
Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications
Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies
Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
