Quality and Controls Specialist - Banking

Noblesoft Solutions, Inc.; Memphis (TN); On-site; USD 70,000 - 95,000; Full time

Job summary

Noblesoft Solutions, Inc. in Memphis, TN is seeking a Quality Assurance professional with 3+ years in financial services to lead reviews of advisory and account processes, audits, and risk controls. You will monitor operations, analyze trends, and drive quality improvements across departments.

The role emphasizes collaboration with leadership to strengthen controls, ensure regulatory compliance, and develop training materials for staff. Strong analytical and communication skills are essential.

Qualifications

• Bachelor's degree and 3+ years of relevant experience in financial services.
• Knowledge of QA practices and audit methodologies within financial services.
• Ability to identify risks and improve quality, efficiency and consistency.

Responsibilities

• Develop knowledge of policies, procedures, regulatory requirements, quality standards and controls.
• Perform detailed quality reviews of Advisory and Managed New Account processes and documentation for accuracy and compliance.
• Conduct audits, transaction reviews, and quality assessments to verify adherence to standards and risk management.
• Monitor workflows to identify trends, gaps, and control weaknesses.
• Investigate discrepancies and processing errors to determine root cause and preventive measures.
• Develop, track, analyze and report quality metrics and audit findings to leadership.
• Collaborate with leadership to strengthen controls and improve workflow efficiency.
• Assist with training for new hires and existing associates on quality standards and compliance.

Skills

Attention to detail

Quality assurance

Audit methodology

Operational controls

Process improvement

Risk assessment

Data analysis

Communication

Multi-tasking

Education

Bachelor's Degree

Tools

Microsoft Office

Job description

Bachelor's Degree Required and 3+ years of relevant experience preferabley in a financial services environment.

Preferred Experience

• Managed Accounts experience.
• Trading or trade review experience.
• Prior experience in quality assurance, controls, audit, risk, or process improvement within a financial services environment.

Key Responsibilities

• Develop and maintain strong knowledge of organizational policies, procedures, regulatory requirements, quality standards, and operational controls.
• Perform detailed quality reviews of Advisory and Managed New Account processes and documentation to ensure accuracy, completeness, procedural adherence, and compliance with internal expectations.
• Conduct audits, transaction reviews, and quality assessments to verify adherence to company standards, service expectations, and risk management requirements.
• Monitor operational workflows to identify trends, recurring errors, procedural gaps, control weaknesses, and areas of operational risk.
• Investigate discrepancies, exceptions, and processing errors to determine root cause and recommend preventative measures.
• Develop, track, analyze, and report quality metrics, audit findings, error trends, and performance results to leadership.
• Collaborate with leadership and business partners to strengthen operational controls, improve workflow efficiency, enhance procedural consistency, and support quality assurance initiatives.
• Assist with the development and facilitation of training for new hires and existing associates, with emphasis on quality standards, procedural accuracy, compliance awareness, and operational excellence.
• Maintain and update training, reference, and procedural materials to reflect process changes, audit findings, compliance updates, and evolving best practices.
• Provide coaching and feedback to reinforce accountability, improve performance, and promote a strong quality-focused culture.
• Serve as a knowledgeable point of contact for internal and external inquiries, ensuring responses align with procedures, controls, and service expectations.
• Support departmental adherence to established service levels, quality benchmarks, and operational risk management standards.

Skills:

Qualifications and Skills

• Strong attention to detail with the ability to consistently maintain high levels of accuracy in a high-volume operational environment.
• Knowledge of quality assurance practices, audit methodology, operational controls, and process improvement principles.
• Ability to identify risk, evaluate procedural gaps, and recommend practical solutions that improve quality, efficiency, and consistency.
• Strong analytical and problem-solving skills, including the ability to investigate issues, assess root cause, and interpret quality trends.
• Experience monitoring performance metrics, preparing reporting, and presenting actionable recommendations to leadership.
• Ability to manage multiple priorities while meeting deadlines and maintaining compliance with established procedures and standards.
• Proficiency with client management systems, operational platforms, reporting tools, and Microsoft Office applications.
• Strong written and verbal communication skills, with the ability to deliver constructive feedback and collaborate effectively across teams.
• Ability to work independently while maintaining accountability to departmental goals, quality expectations, and control requirements.
• Commitment to continuous improvement, operational excellence, and fostering a culture centered on accuracy, accountability, and quality performance.