Mutual Fund Account Services - Sr. Operations Quality Control Analyst

Raymond James • Memphis, FL

5d • Hybrid

About The Position

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.

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
• Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required)
• General Experience - 13 months to 3 years

Nice To Haves

• Licensing SIE is preferred

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

Benefits

• medical
• dental
• vision
• life insurance
• critical illness insurance
• accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree