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.
- 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.
- 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: firstname.lastname@example.org 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