Sr RIA Operations Specialist (Bilingual in Chinese) at TRANSGLOBAL INSURANCE AGENCY INC

Monrovia, California, United States -

Full Time

Start Date

Immediate

Expiry Date

29 May, 26

Salary

84000.0

Posted On

28 Feb, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, Advisor Registration, Training Programs, Operational Support, SEC Regulations, FINRA Regulations, State Regulations, Organizational Acumen, Attention To Detail, Workload Monitoring, Standard Operating Procedures, Trade Blotters, Portfolio Rebalancing, AUM Calculations, Client Support, Process Improvement

Industry

Financial Services

Description

GENERAL FUNCTION / SUMMARY 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. MAJOR DUTIES AND RESPONSIBILITIES RIA Operations Leadership & Team Oversight 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. Investment & Advisory Operations Investment & Advisory Operations 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. Client & Employee Support 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. Process Improvement & Cross-Functional Collaboration 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. BASIC QUALIFICATIONS 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. Series 65 license preferred or willingness to obtain. WHO WE ARE 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. WHY JOIN US Industry Leader: Join the nation's largest Asian-focused financial services firm with a well-established brand and expansive network. Multilingual & Multicultural: Work in a dynamic, diverse environment that understands and serves multicultural communities. Career Growth: Access to cross-functional training, licensing support, and professional development opportunities. Collaborative Culture: Be part of a supportive team that values innovation, initiative, and shared success. Impactful Work: Help individuals and families achieve financial security and generational wealth. WHAT WE OFFER Competitive salary and benefits package. Opportunity to work in a collaborative and innovative environment. Professional development and growth opportunities. H-1B sponsorship available. Pay starts at $72K - $84K/year based on experience.

Responsibilities

This leadership role directs the firm's regulatory compliance, advisor registration, training, reporting, and operational support, ensuring strict adherence to SEC, FINRA, and state requirements. Key duties include supervising RIA Operations Assistants, overseeing daily trading and rebalancing activities, and acting as a senior point of contact for operational and compliance matters.