RIA Operations Assistant (Bilingual in Chinese)

TransGlobal•Diamond Bar, CA

About The Position

The Operations Assistant provides essential support in managing daily operational tasks, ensuring seamless execution of financial advisory services. This role involves account management, trade execution, compliance support, investment research, and client communication. The ideal candidate is detail-oriented, highly organized, and proactive in supporting investment operations, portfolio management, and compliance tasks.

Requirements

Bachelor's degree in Finance, Business Administration, or a related field preferred.
Minimum of 2+ years of experience in financial advisory operations, investment support, or compliance.
Strong attention to detail and accuracy in handling financial transactions.
Knowledge of investment operations, trade execution, and financial compliance.
Proficiency in Microsoft Office (Excel, Word, Outlook)
Excellent communication skills to interact with clients, agents, and internal teams.
Ability to prioritize multiple tasks and manage deadlines efficiently.
Bilingual in Chinese

Responsibilities

Execute daily trading activities, maintain a trade log, and download the trade blotter.
Conduct monthly portfolio and cash rebalancing trades to maintain investment strategies.
Perform investment research and provide market updates for internal and external distribution.
Coordinate portfolio review meetings to foster collaboration between portfolio managers and clients.
Assist with compliance tasks, including new IAR (Investment Advisor Representative) registrations, updating compliance documents, and maintaining logs and reports.
Calculate compliance fees and track annual renewals for distribution to clients.
Support SEC audit preparations, ensuring all required documents and reports are in place.
Review marketing materials, pitchbooks, and newsletters to ensure compliance with industry regulations.
Handle operational tasks such as account opening issues, wire transfers, check deposits, and alerts.
Process Donor-Advised Fund (DAF) distribution and contribution requests.
Maintain and update financial logs and reports, ensuring compliance with regulatory requirements.
Review monthly AUM (Assets Under Management) and ensure accurate data tracking.
Assist with seminars, office events, and advisory-related meetings.
Respond to clients' and agents' emails and phone calls, including managing inquiries through the hotline.
Assist in reviewing client fee calculations and agent split to ensure accuracy.
Manage annual renewals and client distributions, ensuring timely processing.
Attend TGA meetings and collaborate with co-workers to enhance operational efficiency.
Train new employees on operational processes, compliance procedures, and investment-related tasks.