Wealth Management Operations Analyst

Wealth Management Operations Analyst

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Must be eligible to work in the United States without the need for work visa or residency sponsorship.

Job Description

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.
• 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 feedback to ensure consistent service delivery and professional development.
  • Allocate tasks and manage team workloads to meet SLAs.
• Technical Support & Training
  • Provide technical support for internal users on platforms and systems; help troubleshoot and escalate issues.
  • Deliver or support training to branch staff and internal users on system functionality, policy changes, new tools.
• Quality Assurance & Risk Management
  • Implement and monitor quality control measures across operational processes; proactively identify risks and develop mitigation strategies.
• Performance Monitoring & Reporting
  • Track team performance metrics, analyze trends, and present insights to leadership; recommend improvements based on data-driven evaluations.
• Policy & Procedure Leadership
  • Lead the development and periodic review of operational policies and procedures; ensure documentation is current and aligned with regulatory standards.
• Other Duties
  • As volume, organizational size, or departmental priorities shift, take on additional tasks e.g. peak workload support, special projects, or cross-functional work.

Qualifications, Skills, and Requirements

Strong attention to detail and accuracy.

Excellent written, verbal, and presentation communication skills, with the ability to adjust style to the audience.

Strong customer service and interpersonal skills, including high-volume phone and email communication.

Ability to organize and prioritize multiple tasks effectively and meet deadlines in a fast-paced environment.

Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).

Experience with Salesforce, Smartsheet, and ticketing/documentation systems preferred.

Solid judgment, initiative, and problem-solving skills using advanced technical concepts.

Ability to work independently and exercise discretion in sensitive situations.

Comfort serving as a subject matter resource for systems, policies, and procedures across internal teams and branch offices

Education, Training, and Experience

Bachelor's degree in business administration, Accounting, Finance, Economics, or related field preferred.

46 years of professional business experience required, with a strong preference for investment industry operations.

Hands-on experience with Schwab, Fidelity, and/or Raymond James custodial platforms required.

Experience with portfolio management systems such as Orion Advisor Technology, Tamarac, or Black Diamond preferred.

Prior experience supporting compliance, audits, and regulatory processes within financial services operations a plus.

Your base pay is dependent upon your skills, education, qualifications, professional experience, and location. In addition to base pay, some roles are eligible for variable compensation, commission, and/or annual bonus based on your individual performance and/or the company's performance. We also offer eligible employees health, wellbeing, retirement, and other financial benefits, paid time off, overtime pay for non-exempt employees, and robust learning and development programs. You will receive reimbursement of job-related expenses per the company policy and may receive employee perks and discounts.

OneDigital is an equal opportunity employer. Not only as a matter of standard, but to honor and celebrate our differences. We believe that the power of ONE starts with you. We are committed to cultivating and preserving a culture that celebrates diversity, insists on equity and inclusion, and connects us. Ensuring our people feel seen, valued, respected, and supported is fundamental to our core values and business goals.

OneDigital provides equal employment opportunities to all employees and applicants for employment regardless of their: veteran status, uniformed servicemember status, race, color, religion, sex, sexual orientation, gender identity, age (40 and over), pregnancy (including childbirth, lactation and related medical conditions), national origin or ancestry