Financial Operations Manager (Wealth Management)

Financial Operations Manager (Wealth Management)

Wiss Private Client Advisors, LLC is a fast-growing Registered Investment Advisor affiliated with a large accounting firm, overseeing more than $2 billion in assets under administration. Our ultra‑high‑net‑worth clients and complex structures require rigorous internal controls, disciplined operational processes, and strong coordination across operations, accounting, compliance, and technology. This role sits within the Office of the Controller and serves as a critical control, risk, and oversight function for money movement, trading support, billing, data integrity, and workflow governance.

The Financial Operations Manager (Wealth Management) is a senior back‑office leadership role responsible for acting as the final control point (“last line of defense”) across high‑risk, routine wealth management transactions. The role encompasses money movement approvals, trade journal approvals, tax payment approvals, billing oversight, and ownership of key internal controls. This position is primarily non‑client‑facing and is designed for a professional who thrives in high‑accountability, detail‑intensive environments.

Core Responsibilities

• Act as the final approver for all ACHs, wires, checks, internal journals, trade journals, tax payments, and related transactions processed through Fidelity.
• Review and validate supporting documentation submitted and operations staff.
• Serve as a subject matter expert in money movement risk, fraud detection, loss prevention, and escalation of suspicious activity, including conducting verification calls when required.
• Manage peak‑volume periods while maintaining accuracy, risk discipline, and adherence to firm policies, Code of Ethics, and regulatory requirements.
• Oversee and support wealth management billing, including fee accuracy, execution, and approval of Wiss‑related invoice payments.
• Own and operate key internal controls across money movement, billing, trading support, and operational workflows.
• Serve as an escalation point for operational exceptions, high‑risk items, and Fidelity‑related issues, coordinating resolution with custodians and internal teams.
• Partner closely with Compliance to ensure controls align with regulatory requirements and firm policies.
• Coordinate and support custody audits performed by independent auditors, including documentation preparation, walkthroughs, and inquiries.
• Participate in internal control testing, remediation, and ongoing enhancement of control frameworks, ensuring procedures are documented, auditable, and consistently followed.
• Oversee retirement‑related workflows, including RMD preparation and execution.
• Maintain oversight of data integrity across CRM, portfolio accounting, trading, and billing systems.
• Support new system implementations, identify operational risk, and drive process improvement, automation, and scalability as AUM and client complexity grow.
• Provide cross‑functional operational support during lower money‑movement periods, including onboarding, billing, and systems support.

Qualifications

• Bachelor’s degree preferred (Accounting, Finance, Information Systems, or related field).
• CTP certification preferred.
• Prior experience in banking, treasury, wealth management operations, or public accounting.
• Strong understanding of money movement, operational risk, and internal controls.
• Experience serving as a final approver or control owner in a high‑risk environment.
• Exceptional attention to detail, judgment, and consistency.
• Ability to manage fluctuating workloads and high‑pressure deadlines.
• Familiarity with Fidelity Wealthscape or similar custodial platforms.
• Experience supporting custody audits or regulatory exams.
• Background in process improvement or systems implementation.

Compensation and Benefits

Target Salary – commensurate with the level of experience + discretionary bonus and comprehensive benefits including 401(k).

Seniority & Employment

Seniority Level: Entry level (senior back‑office leadership role). Employment Type: Full‑time. Job Function: Management and Manufacturing. Industry: Accounting.

Equal Opportunity Statement

Wiss is committed to fostering a welcoming community. We seek candidates from all backgrounds to join our team and encourage our employees to bring their authentic and best selves to work.

Applicants must be authorized to work for any employer in the U.S. This policy applies equally to applicants regardless of national origin.