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

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 one of the following locations: St. Petersburg, FL or Memphis, TN.