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 ind...
**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 ind...