Quality & Compliance Specialist

We are seeking an experienced Quality & Compliance Specialist to join our growing Operations Team. In this role, you’ll act as an internal investigator — diving deep into policy files, underwriting records, and operational workflows to ensure everything has been completed in accordance with Ledgebrook’s guidance, procedures, and compliance standards.

You will independently review bound accounts, identify gaps or inconsistencies, and validate that documentation, rating, and communication were handled correctly across all stages of the policy lifecycle. Your detective mindset, attention to detail, and ability to connect dots across our underwriting and reporting systems will help safeguard the integrity of our processes and improve quality across the organization.

This is a hands-on opportunity to shape our QA framework from the ground up, build audit methodology for the team, and directly contribute to our mission of operational excellence.

Key Responsibilities

Quality Audits & Investigations

• Conduct regular and ad-hoc audits of policies, endorsements, renewals, and other operational workflows.
• Review files to confirm all required steps, documents, and communications were completed per internal SOPs and underwriting guidelines.
• Identify missing documentation, process deviations, and compliance risks; flag findings with clear, actionable feedback.
• Perform root-cause analyses on recurring issues and collaborate with process owners to design corrective measures.

Reporting & Continuous Improvement

• Prepare structured QA reports summarizing audit results, trends, and improvement opportunities.
• Monitor and verify the implementation of corrective actions to ensure audit findings are properly resolved and sustained over time.
• Support creation and maintenance of QA dashboards, checklists, and audit trackers.
• Recommend updates to operational procedures, training materials, or automation rules based on audit insights.

Collaboration & Knowledge Sharing

• Work closely with Underwriting, Ops, Compliance, and Product teams to clarify audit expectations and raise process awareness.
• Participate in workflow reviews and testing of new tools, ensuring they align with compliance and quality standards.
• Provide mentorship and feedback to Operations team members on audit findings and best practices.