Mutual Fund Account Services - Sr. Operations Quality Control Analyst

Responsibilities

• Conduct detailed quality control reviews of mutual fund account transactions, including account opening, maintenance, transfers, and distributions
• Evaluate operational processes to ensure adherence to internal policies, regulatory requirements, and industry standards (e.g., SEC, FINRA)
• Identify trends, errors, and control weaknesses; recommend and implement corrective actions
• Develop and maintain quality control procedures, checklists, and documentation
• Partner with operations teams to provide feedback, coaching, and training based on quality review findings
• Perform root cause analysis on operational defects and assist in remediation efforts
• Monitor key performance indicators (KPIs) and quality metrics; prepare reporting for leadership
• Support internal and external audits by providing documentation and subject matter expertise
• Participate in process improvement initiatives, including automation and workflow enhancements
• Serve as a subject matter expert (SME) for mutual fund account servicing processes and controls

Requirements

• Strong knowledge of mutual fund products, account servicing, and transaction processing
• Familiarity with regulatory frameworks
• Exceptional attention to detail and analytical skills
• Ability to identify patterns, risks, and process inefficiencies
• Strong communication skills with the ability to influence and collaborate across teams
• Proficiency in Microsoft Office and operational systems
• Ability to manage multiple priorities in a fast-paced environment
• Licensing
• SIE is preferred; Not required
• Education
• Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance, High School (HS) (Required)
• Work Experience
• General Experience - 13 months to 3 years
• Certifications
• Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
• Travel
• Less than 25%
• Workstyle
• Resident
• At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
• We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

Benefits

Additional Information

Job Description Summary The Senior Operations Quality Control Analyst plays a critical role in ensuring the accuracy, compliance, and operational integrity of mutual fund account servicing activities. This position is responsible for performing quality control reviews, identifying process gaps, supporting regulatory adherence, and driving continuous improvement initiatives within the Mutual Fund Account Services team. The role requires strong analytical skills, attention to detail, and deep knowledge of financial operations and industry regulations. Job Description This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following locations: St. Petersburg, FL or Memphis, TN.

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