RIA Operations Manager (Bilingual in Chinese)

TransGlobal•Monrovia, CA

4d•$70,000 - $100,000

About The Position

RIA Operations Manager plays a critical leadership role in directing the firm's regulatory compliance, advisor registration, training programs, reporting processes, and overall operational support. This position ensures strict adherence to SEC, FINRA, and state regulatory requirements while serving as a vital resource for Investment Adviser Representatives (IARs), clients, and internal teams. Success in this role demands exceptional organizational acumen, meticulous attention to detail, and the capacity to seamlessly manage multiple compliance and operational priorities in a dynamic environment.

Requirements

Bachelor's degree in Finance, Business Administration, or related field.
5+ years of experience in compliance, operations, or financial services.
Excellent organizational, communication, and problem-solving skills.
Proven ability to manage multiple priorities and meet critical deadlines in a fast-paced environment.
Strong knowledge of SEC, FINRA, and state regulatory requirements.
Series 65 license required.

Responsibilities

Oversee annual renewal filings and direct year-end calculations of Assets Under Management (AUM) and firm positions, ensuring precision and regulatory compliance.
Coordinate annual distribution to all clients, guaranteeing accuracy, transparency, and timely delivery.
File annual state reports in partnership with the tax department to maintain compliance across jurisdictions.
Coordinate and oversee annual compliance training with external compliance consultants, monitor and document staff participation.
Collect and review quarterly transactions and gift reports from Investment Adviser Representatives (IARs) and staff.
Develop, review, and approve marketing materials, weekly market updates, and social media communications to ensure compliance and brand consistency.
Maintain proactive communication with compliance consultants to stay informed of evolving SEC, FINRA, and state regulations.
Support SEC audits by preparing documentation, managing requests, and delivering timely responses.
Maintain comprehensive compliance logs and reporting systems to support audit readiness and regulatory examinations.
Prepare and issue annual compliance fee invoices to Investment Adviser Representatives (IARs) and coordinate collections with Accounting.
Coordinate bookkeeping activities with Accounting, including making payments to service providers and submitting invoices for processing.
Administer annual renewal fees and other firm payments, ensuring accuracy, compliance, and timely forwarding of all documentation to Accounting.
Analyze and review financial statements, including balance sheets, income statements, and cash flow reports.
Validate client fee calculations, commission structures, and agent compensation for accuracy and compliance.
Conduct quarterly reviews of management fee collections and invoice distributions to ensure consistency and transparency.
Audit monthly AUM calculations to confirm accuracy and regulatory alignment.
Supervise daily trading operations, approve trades, and perform quarterly reviews of trade blotters.
Execute monthly portfolio and cash rebalancing trades to maintain investment strategy alignment.
Manage structured notes transactions, including reviewing SN selections, vendor communications, order submissions, and compliance oversight.
Review and authorize client agreements (IMA, IPS) and related documentation to ensure compliance and accuracy.
Respond promptly to inquiries from clients and IARs, delivering accurate information and professional support.
Facilitate and coordinate meetings between clients and portfolio managers to discuss investment strategies and options.
Manage hotline communications, ensuring efficient handling of calls and resolution of client concerns.
Maintain daily communication with clients and staff regarding account openings, transfers, commissions, and rate inquiries.
Resolve complex compliance and operational issues, escalating matters beyond assistant scope and ensuring timely resolution.
Train and onboard new employees in compliance protocols and operational procedures, fostering consistency and regulatory adherence.
Perform comprehensive due diligence on third-party vendors, including investment products, compliance partners, and operations software providers, to ensure reliability and regulatory alignment.
Oversee and monitor daily communications within the operations team to remain informed of activities, identify issues proactively, and maintain workflow transparency.