Wealth Management Operations & Controls Manager

Wiss Family Office has grown to roughly $2bn in assets under advisement. As the business continues to scale, we are seeking a hands-on operations and controls manager who will ensure that daily wealth management operations are complete, accurate, timely, well documented, and appropriately controlled.

This is a working-manager role. The individual will lead and develop the operations team while remaining close enough to the work to review high-risk activity, investigate exceptions, identify incomplete execution, and step in when an issue requires experienced judgment. The role will serve as the final operational line of defense and a key partner to advisors, investment professionals, compliance, and firm leadership.

The Role

The Operations and Controls Manager will own the operating discipline that allows the wealth management business to grow safely. The successful candidate will combine an auditor's attention to completeness, evidence, and control with the practical judgment to keep work moving, set priorities, and hold people accountable. The right person will not merely design procedures. They will confirm that procedures are followed, exceptions are resolved, approvals are documented, deadlines are met, and recurring problems are corrected at their source.

Daily Wealth Management Operations

• Own the day-to-day execution and oversight of wealth management operations, including client onboarding, account opening, trade operations, account maintenance, transfers, distributions, beneficiary changes, trust and entity accounts, and other custodial workflows.
• Maintain visibility into work queues, aging items, deadlines, service standards, and operational capacity; intervene before client commitments or control requirements are missed.
• Serve as the escalation point for incomplete, unusual, high-risk, or time-sensitive operational matters and remain involved until resolution is documented.
• Maintain a strong working relationship with Fidelity and other custodial or technology partners, ensuring that open issues are assigned, tracked, escalated, and closed.
• Coordinate across client service, advisors, investments, compliance, finance, and technology so operational responsibilities have clear owners and handoffs.
• Ensure every critical process has documented primary and backup coverage and can continue through absences, growth, or employee transitions.

Controls Quality Assurance and Risk Management

• Establish and operate a practical control framework for high-risk activities, including money movement, account opening and maintenance, trading operations, client instructions, and other transactions requiring independent review.
• Confirm appropriate segregation of duties between initiation, review, approval, and reconciliation; escalete conflicts or control gaps promptly.
• Review selected transactions, paperwork, approvals, and exception reports for completeness, accuracy, proper authorization, and evidence of supervisory review.
• Maintain exception and incident logs, investigate discrepancies, perform root-cause analysis, and ensure corrective actions are completed rather than allowing recurring workarounds.
• Partner with compliance and firm leadership on supervisory procedures, examinations, audits, fraud prevention, business continuity, and remediation efforts.
• Develop management reporting that shows operational risk, error trends, aging work, control failures, repeat exceptions, and progress on corrective actions.

Team Leadership and Accountability

• Lead, coach, and develop operations and client service professionals, setting clear expectations for quality, timeliness, ownership, documentation, and escalation.
• Assign and rebalance work based on capacity, complexity, deadlines, and risk rather than allowing work to accumulate with the strongest employees.
• Conduct regular workflow and exception reviews, give timely feedback, and address performance concerns directly.
• Build the team's understanding of why controls exist so employees can exercise judgment rather than rely only on checklists.
• Create development and cross-training plans that deepen expertise and reduce dependence on any single employee.
• Promote a culture in which employees raise risks early, ask questions, and take responsibility for resolving issues.

Process Improvement Technology and Automation

• Map current workflows, validate the correct source of truth, remove unnecessary steps, and establish clear ownership before introducing automation.
• Identify opportunities to use…