Quality Assurance & Controls Lead - Financial Services

TEKsystems; Memphis (TN); Hybrid; USD 33,000 - 44,000; Full time

Benefits offered by this job

Medical, dental & vision

401(k) Retirement Plan

Life Insurance

Disability coverage

HSA

Transit benefits

Employee Assistance Program

PTO / Time Off

Job summary

TEKsystems in Memphis, TN seeks a detail-oriented Quality Assurance & Controls Specialist to drive operational excellence within Advisory and Managed Accounts. You will conduct quality reviews, evaluate controls, and support risk management across business functions.

The role requires a BA/BS, 3+ years in financial services, and hands-on experience with brokerage operations, managed accounts, and trading processes.

Qualifications

• Bachelor's degree required.
• 3+ years in financial services operations, QA, controls, audit, risk, or process improvement.
• Experience with brokerage operations and managed accounts.
• Knowledge of trading operations or trade review processes.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication abilities.

Responsibilities

• Conduct detailed quality reviews of advisory and managed account activities for accuracy and compliance.
• Perform audits, transaction reviews, and control assessments to ensure standards and risk requirements.
• Identify recurring errors and control gaps; recommend corrective actions.
• Investigate exceptions, perform root cause analysis, and support resolution efforts.
• Develop quality metrics, audit findings, and performance dashboards.
• Partner with leadership to improve workflows and operational efficiency.
• Assist in training on quality standards, regulatory compliance, and best practices.
• Maintain procedural docs and reference guides to align with evolving processes.
• Provide coaching to promote accountability and continuous improvement.
• Serve as a subject matter resource for quality and controls inquiries.

Skills

QA/QC experience

Brokerage operations

Managed accounts

Trading operations

Analytical skills

Communication skills

Education

Bachelor's degree

Job description

TEKsystems in Memphis, TN seeks a detail-oriented Quality Assurance & Controls Specialist to drive operational excellence within Advisory and Managed Accounts. You will conduct quality reviews, evaluate controls, and support risk management across business functions.

The role requires a BA/BS, 3+ years in financial services, and hands-on experience with brokerage operations, managed accounts, and trading processes.