This role is responsible to monitor, identify and track inaccuracies in the operations and registration units with the goal of increasing capacity and accuracy and to provide broker-dealer, systems and job training. Furthermore, this role will support quality and compliance guidelines by providing quality verification support for all processes/units with a high degree of accuracy.

Key Responsibilities:

• Review systems, images, and paperwork to accurately quality check items processed

• Continuously review and analyze current processes for opportunities of efficiency and/or cost savings

• Improve consistency by creating and updating checklists

• Identify error trends and training needs of employees

• Design and deliver effective broker-dealer industry training, systems training and some job training

• Perform operations processing functions when necessary

Supervisory Responsibilities:

This job does not have supervisory duties.

Education and Experience:

• 4 year Bachelors Degree (Preferred)

• 0-2 years experience (Preferred)

• In lieu of the above education requirements, an equivalent combination of education and experience may be considered.

Certificates, Licenses, Registrations:

• No Certification, License or Registration is required for the job.

Functional Skills:

• Ability to analyze and research information

• Basic understanding of products, services, systems used in all units within AFS, LLC

• Proficiency in Microsoft Office applications

• Advanced oral and written communication skills

• Ability to maintain a high level of confidentiality

• Ability to work independently, manage time appropriately, and utilize decision making skills


The preceding description is not designed to be a complete list of all duties and responsibilities. May be required to perform other related duties as assigned. Regular, predictable attendance is an essential function of this job.

Compensation offered for this role is $37,000.00-$64,750.00 per year and is based on experience and qualifications.

The candidate(s) offered this position will be required to submit to a background investigation, which includes a drug screen.

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