Spec Quality Assurance EPW

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Quality Assurance Specialist – Empower Personal Wealth (EPW) evaluates and monitors participant phone interactions conducted by representatives and financial advisors to assess service quality, regulatory compliance, and adherence to company policies and procedures. This role provides actionable performance feedback, analyzes call quality metrics, identifies training opportunities, and partners with cross-functional teams to support continuous improvement in the retirement and wealth management environment.

• Monitor and evaluate recorded phone interactions between participants and EPW representatives and financial advisors to assess service quality, accuracy, regulatory compliance, and adherence to established policies and procedures.
• Prepare written quality assurance evaluations and provide actionable performance feedback to representatives, advisors, and their managers to support coaching and continuous improvement.
• Identify, document, and escalate call quality concerns, compliance issues, and performance trends to appropriate management teams.
• Utilize call quality monitoring and performance management systems to document evaluations, track individual performance, and maintain accurate quality assurance records.
• Collect, analyze, and report call monitoring data, quality assurance metrics, and performance trends to support monthly reporting and internal quality assessments.
• Collaborate with Compliance, Legal, Supervision, and Training teams to ensure call evaluation standards, coaching materials, and training resources reflect current regulatory requirements and internal procedures.
• Identify recurring performance gaps, conduct training needs assessments, and recommend targeted learning and development solutions.
• Review and update call evaluation methodologies, quality monitoring criteria, and assessment processes in response to regulatory, industry, and internal process changes.
• Support quality assurance and training initiatives, including developing training materials, participating in cross-functional projects, and facilitating call evaluation methodology training for new representatives, advisors, and managers.

• Bachelor's degree in a related discipline or equivalent professional experience in the retirement, wealth management, or financial services industry.
• Intermediate proficiency with Microsoft Office applications, including Excel, Word, PowerPoint, and Outlook.
• Strong analytical, critical thinking, and problem-solving skills with the ability to evaluate information, identify performance trends, and communicate findings.
• Proficiency in written and verbal English communication.
• Ability to document evaluation findings accurately and communicate feedback clearly and objectively.
• Ability to travel overnight approximately two to three times annually.
• FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 registrations, or Series 63 and Series 65 in lieu of Series 66, required within company-established timelines.
• FINRA Fingerprinting required.

• Working knowledge of retirement plans, retail investment products, advisory services, and wealth management solutions.
• Excellent written and verbal communication skills, including the ability to deliver constructive performance feedback.

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, 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.