Lewis James Professional

Quality Assurance and Control Manager

Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Quality Assurance and Control Manager for a direct hire opportunity with a financial services client.

Responsibilities:

  • Oversee the quality control process for Wealth Brokerage and Supervision.
  • Support GRC (Archer) reporting for Management Self-Identified Issues (MSI) leveraging an Operational Risk Management framework for the Wealth Brokerage line of business including the risk control self-assessment.
  • Develop and monitor Key Risk Indicators and Key Performance Indicators Review monthly first line of defense testing, loss events and external event activities.
  • Prepare and support the Wealth Brokerage Risk Committee and Items Requiring Attention Working Group as the Secretary.
  • Directly support the Wealth Brokerage Chief Operating Officer and provides additional support as assigned for each of the respective governance committees and working groups.

Qualifications:

  • Bachelor’s degree and knowledge of financial institutions with emphasis in operational risk, supervision or administration.
  • A minimum of 7 years of brokerage industry experience with emphasis in operational risk, supervision and/or administration.
  • FINRA Series 4, 7, 24, 57, and 63 or the ability to obtain missing licenses within 180 days.
  • Strong written, PowerPoint and oral communication skills along with exceptional decision making and judgment skills.

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_3492. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_3492. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V