**Job Description** **Job Summary** Under minimum supervision, this position will be responsible for testing and maintaining voluntary business activity quality control programs. Reviews and analyzes marketing materials to ensure consistent compliance with insurance related policy/practices as they specifically relate to financial and regulatory risks. Uses independent judgement to provide solutions to complex problems. Extensive contact with internal customers is required to identify, research, and resolve problems. **Essential Duties and Responsibilities** + Proactively researches and investigates exceptions, red-flags and concerns by gathering, analyzing and interpreting pertinent information and documentation. + Ensures potential risks are mitigated and all guidelines, requirements, and standards are appropriately met. + Identifies and communicates exceptions and concerns to appropriate levels of management. + Maintains a high level of attention to detail and accuracy when reviewing high volumes of materials or transactions. + Tracks all outstanding exceptions to ensure resolution and performs validation prior to closing out exceptions. + Assists in handling escalated issues in an urgent matter to mitigate potential risk of financial loss to the client and/or firm. + Gathers information on error activity and reviews results with supervisor to determine root cause; implements action items based on management recommendations for avoiding future errors. + Assists with the monitoring of various audit controls and functions to ensure appropriate procedures are being followed. + Works with supervisor to develop reporting methods that identify progress against identified errors. + Assists senior analyst and supervisor with identifying training needs that will remediate inefficiencies. + Provides input and influences the overall objectives and long range goals of the quality control function. + Conducts necessary group and individual training related to improving operational compliance. + Works on special projects focused on increasing the effectiveness of audit functionality to ensure compliance with appropriate regulations. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Products and concepts relating to financial services. + Diverse range of activities and how they impact clients and the firm + General office practices and procedures. **Skill in** + Reviewing transaction records for various testing/monitoring purposes + Using Microsoft Office applications to produce correspondence, reports, electronic communications, spreadsheets and databases at an intermediate to high level. + Identifying and implementing controls and quality assurance processes. + Reviewing materials for compliance with rules and regulations. + Updating and maintaining procedures on an ongoing basis. + Investigating relevant irregularities. + Making rule-based and analytical decisions. + Analyzing operational processes and identifying opportunities for improvement. **Ability to** + Interpret and apply securities and/or insurance related regulations and identify and recommends policy and procedural changes as appropriate. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Work independently as well as collaboratively within a team environment. + Provide a high level of customer service. + Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. + Establish and maintain effective working relationships at all levels of the organization. **Educational/Previous Experience Requirements** + Bachelor’s Degree and/or a minimum of two (2) years’ experience in quality control analysis and operations. + OR ~ + Any equivalent combination of education, training and/or experience approved by Human Resources. **Licenses/Certifications** + None **Education** Bachelor’s, Bachelor’s: Business Administration **Work Experience** General Experience - 13 months to 3 years **Certifications** **Travel** Less than 25% **Workstyle** Hybrid 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. \#LI-JM1