Spec Quality Assurance EPW-6

Grow your career with a growing organization

Whether they’re helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that’s hard to beat. And from a personal satisfaction perspective, you’ll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.

The primary responsibility of the Quality Assurance Specialist EPW (Empower Personal Wealth) is to monitor and provide feedback on the quality of phone interactions with participants by evaluating calls of representatives and advisors. This is to ensure compliance with policies and procedures, rules and regulations of the financial services industry.

ESSENTIAL FUNCTIONS:

• Provide continuous call evaluation feedback to EPW representatives and advisors through written evaluations and review with their managers. 
• Document and escalate call monitoring issues to management as necessary.
• Evaluate representatives and advisors’ calls using the quality monitoring data management system to compile and track performance at an individual level.
• Extract and organize metrics to create month-end reporting and analysis on call monitoring results for internal quality reports, including the following: facilitate call calibration exercises to validate that calls are monitored consistently among the Quality Assurance Specialists. Partner with internal resources (Compliance, Legal, Supervision, Training) to ensure training, resources and feedback includes thorough and accurate information; identify performance gap trends, conduct need/skill gap analysis, contribute to appropriate learning solutions and documentation support.
• Review and update call evaluation methodologies based on industry and/or internal process changes.
• Participate in various projects by assisting with organization of training related projects, which includes developing training materials, attending meetings, facilitating training for new representatives, advisors and managers as it relates to call evaluation methodology or other topics as necessary.

QUALIFICATIONS: 

• Bachelor’s Degree in related discipline or equivalent work experience in retirement / wealth management / financial service industry
• FINRA SIE and Series 7 required within corporate established timelines. 
• FINRA fingerprinting required.
• Working knowledge of retirement plan and retail investment and advisory products preferred
• Intermediate skills using Microsoft Office products
• Sound reasoning and critical thinking
• Excellent written and verbal communication skills
• Fluent English
• Occasional overnight travel may be required 2-3 times annually.

This job operates in a professional office environment. This role routinely uses standard office equipment such as but not limited to; computers, phones, photocopiers, filing cabinets and fax machines. While performing the duties of this job, the employee is regularly required to talk or hear. Many duties will be done while sitting at a desk and working on a computer. The employee frequently is required to stand; walk; use hands to finger, handle or feel; and reach with hands and arms.

This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job. The employer has the right to revise this job description at any time. You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description. You may be required perform other duties that are not included on this job description. The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.