Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

We are currently seeking to hire a Quality Control Team Lead based out of our Jersey city office. The position is responsible to oversee operations and ensure that it is functioning according to internal policies and external regulations.

Responsibilities include, but are not limited to:

• Develop and monitor Quality Control framework, manage queues, assign cases to analysts, and supervise the team to ensure timely completion of workload
• Provide staff with strategic and day-to-day direction in assigned responsibilities
• Ensure reviews are performed with appropriate subject matter expertise, and methodologies to deliver conclusions are actionable, well-supported and documented
• Leverage existing technology to support program needs and recommend enhancements required to effectively execute the program
• Implement industry best practice and create Key Performance Indicators around the operating processes
• Create Key Risk Indicators around the control process, ensuring processes being reviewed are in line with internal policies and external regulatory requirements
• Establish a checklist process for Desk Supervisors and a central repository for Internal and External Auditors
• Maintain strong working relationships with all Operational areas to develop a governance structure for Key Risk Indicators / Key Performance Indicators breaches
• Perform other tasks and duties as required and assigned

Required Experience:

• Bachelor's degree from an accredited university
• 3 - 5 years managerial experience in the Quality Control process
• Proficient in Microsoft Office (Outlook, Word, PowerPoint) with strong Excel skills
• Series 99 license required; otherwise, position will require obtaining 99 license upon employment
• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
• Strong management and supervision skills
• Previous experience in Financial Services, particularly any big banks or broker/dealer strongly preferred
• Ability to motivate staff and strive for continuous improvement
• Strong analytical, problem-solving, and critical-thinking skills
• Ability to analyze processes and improve efficiency