Quality Assurance Analyst, Operations & Service

About the role

The Quality Assurance (QA) Analyst, Operations & Service evaluates operational processes and employee performance to ensure adherence to established procedures, quality standards, regulatory requirements, and customer experience expectations. This role partners closely with operations leaders to identify gaps, reduce errors, and drive continuous process improvement through data analysis, audits, and actionable insights.

Responsibilities

• Conduct quality audits, operational reviews, and process evaluations across assigned functions.
• Monitor transactions, cases, calls, or workflows to assess compliance with policies, procedures, and service standards.
• Score performance using QA frameworks and evaluation tools.
• Identify trends, root causes, drivers of defects, errors, rework, or customer dissatisfaction.
• Document findings and provide clear, actionable feedback to leaders and frontline teams.
• Collaborate with operations, training, compliance, and leadership teams to improve quality outcomes.
• Track quality metrics, KPIs, and performance trends for reports and dashboards.
• Support calibration sessions to ensure consistent quality scoring and standards alignment.
• Recommend and help implement process improvements, controls, and best practices.
• Ensure compliance with regulatory, contractual, and internal audit requirements.
• Participate in change initiatives, pilots, and process redesign efforts.

Requirements

• Education: 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.
• Experience: 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.
• Skills: Strong proficiency in Microsoft Office Suite (Excel, Word, Outlook, and PowerPoint), with the ability to analyze data, create reports, and communicate findings effectively. Excellent verbal and written communication skills, including the ability to deliver clear, constructive, and actionable feedback to employees, leaders, and business partners. Demonstrated coaching and feedback skills, with the ability to influence positive performance outcomes, reinforce best practices, and support employee development. Strong organizational, time management, and prioritization skills with the ability to manage multiple assignments and meet deadlines in a fast-paced environment. Demonstrated attention to detail and ability to identify errors, process gaps, trends, and opportunities for improvement. Strong analytical, critical thinking, and problem-solving skills, including the ability to investigate root causes and recommend corrective actions. Ability to interpret, apply, and monitor adherence to policies, procedures, business requirements, and service standards. Proven ability to work independently while maintaining a high degree of accuracy, consistency, and quality. Ability to remain focused, objective, and productive while working under pressure and managing competing priorities. Strong customer-focused mindset with a commitment to delivering high-quality service and operational excellence. Ability to collaborate effectively with operations, training, compliance, leadership, and cross-functional teams to drive quality improvements and operational efficiencies. Experience tracking performance metrics, quality measures, and trends to support reporting and decision-making. Experience using CRM platforms and workflow management systems, including Salesforce. Knowledge of brokerage operations, regulatory requirements, and risk/control frameworks. Completion of the FINRA Securities Industry Essentials (SIE) Exam. FINRA Series 7 and/or other applicable FINRA licenses.

Qualifications

• 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. Strong proficiency in Microsoft Office Suite (Excel, Word, Outlook, and PowerPoint), with the ability to analyze data, create reports, and communicate findings effectively. Excellent verbal and written communication skills, including the ability to deliver clear, constructive, and actionable feedback to employees, leaders, and business partners. Demonstrated coaching and feedback skills, with the ability to influence positive performance outcomes, reinforce best practices, and support employee development. Strong organizational, time management, and prioritization skills with the ability to manage multiple assignments and meet deadlines in a fast-paced environment. Demonstrated attention to detail and ability to identify errors, process gaps, trends, and opportunities for improvement. Strong analytical, critical thinking, and problem-solving skills, including the ability to investigate root causes and recommend corrective actions. Ability to interpret, apply, and monitor adherence to policies, procedures, business requirements, and service standards. Proven ability to work independently while maintaining a high degree of accuracy, consistency, and quality. Ability to remain focused, objective, and productive while working under pressure and managing competing priorities. Strong customer-focused mindset with a commitment to delivering high-quality service and operational excellence. Ability to collaborate effectively with operations, training, compliance, leadership, and cross-functional teams to drive quality improvements and operational efficiencies. Experience tracking performance metrics, quality measures, and trends to support reporting and decision-making. Experience using CRM platforms and workflow management systems, including Salesforce. Knowledge of brokerage operations, regulatory requirements, and risk/control frameworks. Completion of the FINRA Securities Industry Essentials (SIE) Exam. FINRA Series 7 and/or other applicable FINRA licenses.

Skills

• Strong proficiency in Microsoft Office Suite (Excel, Word, Outlook, and PowerPoint).
• Excellent verbal and written communication skills.
• Strong organizational, time management, and prioritization skills.
• Strong analytical, critical thinking, and problem-solving skills.
• Ability to interpret, apply, and monitor adherence to policies, procedures, business requirements, and service standards.
• Proven ability to work independently while maintaining a high degree of accuracy, consistency, and quality.
• Ability to remain focused, objective, and productive while working under pressure and managing competing priorities.
• Strong customer-focused mindset with a commitment to delivering high-quality service and operational excellence.
• Ability to collaborate effectively with operations, training, compliance, leadership, and cross-functional teams.
• Experience using CRM platforms and workflow management systems, including Salesforce.
• Knowledge of brokerage operations, regulatory requirements, and risk/control frameworks.
• Completion of the FINRA Securities Industry Essentials (SIE) Exam.
• FINRA Series 7 and/or other applicable FINRA licenses.

Benefits

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.

Pay

$57,000 - $60,000 per year + annual performance-based bonus

Schedule

Our role type is Full-time. Our actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education. We have a hybrid schedule requiring a minimum of 4 days weekly in the office.