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Investing Quality Management Specialist

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Location:
United States , St. Louis

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

As an Investing Quality Management Specialist, you’ll safeguard the accuracy, compliance, and consistency of customer interactions within the Investing program. You’ll evaluate cases and correspondence, oversee keyword and regulatory reviews, and provide data-driven feedback to improve quality and adherence to FINRA standards. Combining deep regulatory knowledge with AI-supported analysis, you’ll strengthen quality programs and ensure every interaction meets our compliance and service standards.

Job Responsibility:

  • Conduct detailed evaluations of customer interactions across Investing channels to ensure compliance with FINRA regulations and internal quality standards
  • Use available tools and data, including AI, to identify trends, strengths, and opportunities for improvement
  • Deliver clear, constructive feedback to specialists and provide leadership with insights drawn from evaluation results
  • Maintain and update the Investing QA Rubric to reflect regulatory changes, evolving performance goals, and best practices
  • Participate in calibration sessions to align evaluation criteria, scoring consistency, and overall quality standards
  • Perform regular audits and compliance checks to monitor adherence to FINRA and Block rules, addressing discrepancies promptly
  • Collaborate cross-functionally with operations, training, compliance, and product partners to align quality practices and support continuous improvement
  • Surface data-driven recommendations that inform strategic initiatives and enhance both customer and team member experience

Requirements:

  • FINRA Series 7 and 63 (or equivalent)
  • Active Series 7 and Series 63 (or equivalent FINRA registrations)
  • At least 2 years of experience in quality management, assurance, or customer operations leadership
  • Proven ability to evaluate performance, identify root causes, and deliver clear, actionable insights
  • Strong analytical and organizational skills, with experience implementing scalable quality or compliance processes
  • Skilled in using QA tools, reporting systems, and data analysis software to evaluate and improve performance
  • Familiarity with leveraging AI-driven tools for quality monitoring, keyword detection, or trend analysis to enhance accuracy and efficiency
  • Excellent written and verbal communication, able to deliver constructive feedback and clear documentation
  • Comfortable working independently, managing multiple priorities, and meeting tight deadlines
  • Demonstrated attention to detail, integrity, and ownership in maintaining compliance and accuracy
  • Flexible and adaptable to evolving business needs and regulatory changes

Nice to have:

  • Series 24 registration
  • Experience in investing quality assurance or FINRA-regulated environments
  • COPC or CAMS certification in quality management or compliance
  • Advanced proficiency with Excel or Google Sheets (formulas, data analysis, reporting automation)
  • Bilingual: English / Spanish
What we offer:
  • Remote work
  • medical insurance
  • flexible time off
  • retirement savings plans
  • modern family planning

Additional Information:

Job Posted:
January 26, 2026

Employment Type:
Fulltime
Work Type:
Remote work
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