Wiss · 12 hours ago
Financial Operations Manager (Wealth Management)
Florham Park, NJ
Full-time
Onsite
Senior LevelWiss Private Client Advisors, LLC is a fast-growing Registered Investment Advisor overseeing more than $2 billion in assets. The Financial Operations Manager is a senior back-office leadership role responsible for acting as the final control point across high-risk wealth management transactions, ensuring compliance and operational integrity.
Accounting
No H1B
Responsibilities
Act as the final approver for all ACHs, wires, checks, and internal journals processed through Fidelity
Review and validate supporting documentation entered by Client Service Associates and operations staff
Serve as a subject matter expert in money movement risk, fraud detection, and loss prevention
Identify, investigate, and escalate suspicious or potentially fraudulent activity
Conduct verification calls with clients when required
Manage peak-volume periods (e.g., quarterly tax deadlines) while maintaining accuracy and risk discipline
Review and approve trade journals for accuracy, completeness, and compliance
Approve tax payments initiated on behalf of clients
Approve new account applications and account maintenance requests
Serve as an escalation point for operational exceptions and high-risk items
Ensure adherence to firm policies, Code of Ethics, and regulatory requirements
Oversee and support wealth management billing, including fee calculation accuracy and execution
Review and approve Wiss-related invoice payments tied to the wealth management business
Provide light accounting support and coordination with accounting and finance teams
Own and operate key internal controls across money movement, billing, trading support, and operational workflows
Partner closely with Compliance to ensure controls align with regulatory requirements and firm policies
Coordinate and support custody audits performed by independent auditors, including preparation of documentation, walkthroughs, and auditor inquiries
Participate in internal control testing, remediation, and ongoing enhancement of control frameworks
Ensure procedures are documented, auditable, and consistently followed across teams
Serve as a senior escalation point for Fidelity-related operational issues, including money movement, account setup, and exceptions
Coordinate resolution of errors, breaks, and systemic issues with custodians and internal teams
Oversee RMD preparation and execution, ensuring accuracy and timely completion
Ensure retirement-related workflows are compliant, documented, and scalable
Maintain oversight of data and software cleanliness across CRM, portfolio accounting, trading, and billing systems
Ensure integrity, consistency, and accuracy of client and account data
Support new system implementations and enhancements
Identify operational risk arising from data gaps or system inefficiencies
Own and oversee operational workflows, ensuring they are repeatable, documented, and auditable
Identify opportunities for process improvement, automation, and risk reduction
Provide coverage and cross-functional support during lower money-movement periods (onboarding, billing, systems support)
Support scaling of operations as AUM and client complexity grow
Qualification
Required
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
Benefits
Discretionary bonus
Comprehensive benefits including 401K
Company
Wiss
At Wiss, we believe there’s more to accounting than just balancing the books.
Founded in 1969
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Jeff Shear
Managing Director - Technology Advisory
W
William Haemmerle
Partner, Transaction Advisory Services
Recent News
2025-12-16
2025-07-09
Company data provided by crunchbase