Mutual Fund Account Services - Sr. Operations Quality Control Analyst

Responsibilities

• Cover 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.
• Serve as a subject matter expert (SME) for mutual fund account servicing processes and controls.
• Participate in process improvement initiatives, including automation and workflow enhancements.

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.

Skills

• 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.

Qualifications

• Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS)

Benefits

• This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.

Pay

• The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Schedule

• The position follows a hybrid-friendly schedule, with in-office days being 3 per week, averaging 12 days per month in either St. Petersburg, FL or Memphis, TN.