Sr RIA Operations Specialist (Bilingual in Chinese)
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. With over 30 years of experience, TransGlobal has grown into the largest Asian-focused, all-in-one financial services platform in the U.S. We offer a comprehensive suite of services-including life and health insurance, annuities, real estate, private lending, tax and estate planning, and investment management-through a network of 30+ branches across 14 states and over 5,000 professional independent agents. Our mission is to deliver trustworthy, customer-centric financial solutions, all in your language and aligned with your goals.
Requirements
- Bachelor's degree in Finance, Business Administration, or related field.
- 3+ years of experience in compliance, advisory 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.
Nice To Haves
- Series 65 license preferred or willingness to obtain.
Responsibilities
- Oversee and manage daily RIA operations, ensuring accuracy, consistency, and regulatory compliance across all activities.
- Provide direct day-to-day supervision, coaching, and training to RIA Operations Assistants.
- Assign work, set priorities, monitor workload, and ensure service-level expectations are met.
- Serve as the escalation point for complex operational, compliance, and client-related issues.
- Provide input into performance evaluations, development planning, and staffing needs.
- Establish, document, and maintain standard operating procedures (SOPs) and internal controls.
- Oversee execution and review of daily trading activities, trade blotters, and transaction records.
- Perform and review monthly portfolio and cash rebalancing activities to ensure alignment with investment strategies.
- Review and validate monthly AUM calculations and related reporting.
- Support structured investment products and complex transactions from an operational and compliance perspective.
- Coordinate portfolio review meetings and ensure operational follow-through.
- Act as a senior point of contact for clients and Investment Adviser Representatives (IARs) on operational, account, and compliance matters.
- Support account openings, transfers, wires, deposits, and donor-advised fund (DAF) transactions.
- Review client fee calculations, billing accuracy, and agent compensation splits.
- Ensure timely, professional resolution of operational and service issues.
- Maintain clear and proactive communication with internal stakeholders regarding operational status and risks.
- Identify operational inefficiencies, compliance gaps, and risk areas; design and implement process improvements.
- Partner with Accounting, Compliance, Advisory, and IT teams to ensure data integrity and workflow alignment.
- Support system enhancements, reporting improvements, and scalability initiatives.
- Lead or contribute to special projects as assigned by the RIA COO.
Benefits
- Competitive salary and benefits package.
- Opportunity to work in a collaborative and innovative environment.
- Professional development and growth opportunities.
- H-1B sponsorship available.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
