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.
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
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
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 yearsCertifications
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)Travel
Less than 25%Workstyle
ResidentThe 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. 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. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
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
At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Skills Required
- Bachelor's degree in Accounting, Business Administration, or Finance (or High School)
- General experience 13 months to 3 years
- Strong knowledge of mutual fund products, account servicing, and transaction processing
- Familiarity with regulatory frameworks (e.g., SEC, FINRA)
- Exceptional attention to detail and analytical skills
- Strong communication skills and ability to influence/collaborate
- Proficiency in Microsoft Office and operational systems
- Securities Industry Essentials Exam (SIE)
What We Do
Founded in 1962 and a public company since 1983, Raymond James Financial, Inc. is a Florida-based diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. The firm's stock is traded on the New York Stock Exchange (RJF). Through its three broker/dealer subsidiaries, Raymond James Financial has approximately 8,400 financial advisors throughout the United States, Canada and overseas. Total client assets are $1.18 trillion (as of 9/30/2021). Raymond James has been recognized nationally for its community support and corporate philanthropy. The company has been ranked as one of the best in the country in customer service, as a great place to work and as a national leader in support of the arts.
