• Conduct thorough internal reviews aimed at monitoring University controls • Focus on Federal Financial Aid compliance, Veterans Funding, Student Advising, and overall University operations • Articulate findings and identify trends to University stakeholders • Contribute to essential regulatory tasks, including annual audit and reconciliation • Stay informed about regulatory modifications and monitor communications from external agencies • Interpret regulations and produce compliance and policy memos • Collaborate in external audits by preparing requested documentation • Support University projects aligned with new initiatives and organizational goals

• Must be able to perform QA reviews between 5-10% of the current volume per month • The role requires the ability to provide detailed feedback to the Auditing team, to include guideline and overlay references and respond during the feedback process in a professional and detailed manner • This role will assist in the Baker Tilly test file process in various capacities (review and oversight) • This role requires in-depth knowledge of the Quality Control function with regards to FNMA, FHLMC, FHA/VA, USDA requirements • The QA Specialist should be well versed in performing and reviewing Pre and Post Close reviews, Repurchase reviews, Early Payment Default and Red Flag/ Fraud Reviews • The QA Specialist must be knowledgeable in both state and federal regulatory requirements for real estate lending, must understand how to assess the accuracy, reliability, and appropriateness of each document • Understands the quality control needs of the organization and that of our Clients • Will assist the management team in Auditor training as required; development and maintenance of employee scorecard and performance standards for the Quality Control Department • Assist in drafting and maintaining quality control policies and procedures • Document and maintain the QA reporting records and provide monthly reports to management • Assist in investigating and reviewing client oversight items • Analyze data to identify areas for improvement in the quality control department • Assist in developing, recommending and monitoring corrective and preventive actions prepare reports to communicate outcomes of quality activities • Assist in identifying training needs based on scorecard issues • Proactively determine areas of additional focus for QA regarding specific auditors and/or clients

• Create and execute test scenarios and test cases • Run mainframe batch jobs and resolve errors • Collaborate with team on testing processes for state government projects • Utilize Serena Changeman for mainframe tasks

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description As a Quality Assurance Specialist, you will 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 internal policies and procedures, rules and regulations of the financial services industry. - Provide continuous call evaluation feedback to representatives and advisors through written evaluations and 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 facilitating 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. - 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 a related discipline or equivalent industry experience - FINRA SIE, Series 7, and Series 66 required; FINRA fingerprinting required - Strong analytical and critical thinking skills with sound judgment - Intermediate proficiency in Microsoft Office tools - Excellent written and verbal communication skills Requirements - Working knowledge of retirement plan, retail investment, or advisory products - Experience supporting training initiatives or contributing to learning materials - Ability to identify patterns and translate data into actionable recommendations - Strong organizational skills with high attention to detail - Commitment to maintaining regulatory standards and continuous operational improvement Benefits - Base Salary Range: $50,300.00 - $69,125.00 - Non-sales positions have the opportunity to participate in a bonus program. - Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. - Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Company Description 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 (40 and over), 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.