Wealth Management Operations Analyst

When you ask people what gives them peace of mind to live their best life, having a sense of financial security is usually at the top of the list. Our financial services include employer-based benefits like retirement planning so employers can help their people plan for a comfortable life after they stop working. We also provide personalized financial planning and investment services to help families succeed in every stage of life.

Our Newest Opportunity:

The Wealth Management Operations Analyst plays a key role in ensuring the accuracy, efficiency, and compliance of operational processes that support financial advisors, branch offices, and clients. This position oversees account onboarding, system administration, data integrity, and transaction processing across custodial and portfolio management platforms. The analyst serves as a subject matter expert, resolving escalated issues, supporting audits, and driving process improvements.

Success in this role is measured by precision, timeliness, and adherence to regulatory standards, contributing directly to a seamless advisor and client experience.

Essential Duties and Responsibilities:

Wealth Management Account Set-Up & Maintenance

• Process and verify all new account openings in portfolio/customer management systems.
• Ensure complete, accurate documentation (e.g., KYC, citizenship, funding, signatures) per regulatory, custodial, and internal policy requirements.
• Maintain and update account maintenance requests: transfers, beneficiary changes, account closures, fund moves, etc.

System & Data Integrity

• Serve as system administrator and superuser for custodial, portfolio management, and related platforms (e.g., Schwab, Fidelity, Orion, etc.).
• Reconcile data across systems, ensuring consistency and resolving discrepancies (e.g. between custody platforms, portfolio databases, and reporting tools).
• Monitor data quality and perform regular audits to detect and correct data issues.

Transaction Processing & Financial Adjustments

• Calculate and process refunds, adjustments, fee corrections, billing events, etc., ensuring full accuracy.
• Oversee trade settlement exceptions, custodial errors, or irregularities; escalate and coordinate resolution as needed.

Support & Service Delivery

• Respond to escalated issues from branches or advisors; serve as point person for complex questions or service problems.
• Manage branch/desk phone coverage and email inboxes; provide clerical, administration, and documentation support.
• Interface with clients, advisors, vendors, and custodians to ensure smooth operational flows and good customer experience.

Audits & Compliance

• Support internal and external audits: prepare materials, perform sample testing, follow-up on findings.
• Maintain compliance with regulatory standards, internal policies, and industry best practices.
• Help develop, maintain, review policies, procedures, and compliance-related workflows, ensuring they remain current.

Process Improvement & Project Work

• Identify opportunities to streamline or automate processes to improve operational efficiency, reduce error rates, and enhance scalability.
• Participate in or lead projects such as system implementations, upgrades, vendor integrations, or custodial transitions.
• Develop, document, and train on SOPs, workflow diagrams, and procedural training for internal and branch users.

Reporting, Monitoring & Performance Metrics

• Produce, maintain, and distribute regular operational reports (daily, weekly, monthly) on key metrics such as throughput, error rates, ticket backlog, and SLA adherence.
• Monitor service level agreements (SLAs) and internal goals; identify and address bottlenecks.
• Track team performance metrics, analyze trends, and present insights to leadership; recommend improvements based on data‑driven evaluations.

Relationship Management

• Build and maintain strong working relationships with branch staff, advisors, custodians, software/platform vendors.
• Act as a liaison for vendor or platform issues, ensuring issues are resolved; participate in vendor or platform support escalations.

Team Oversight & Mentorship

• Supervise junior operations staff or contractors, providing guidance, training, and performance…