Sr. Operations Quality Control Analyst at Raymond James Financial, Inc.

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.

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 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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. 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.