TransGlobal Holding Co. · 1 month ago
RIA Operations Manager (Bilingual in Chinese)
1520 Bridgegate Dr, Diamond Bar, CA 91765, USA
Full-time
Onsite
Mid, Senior Level
5+ years expTransGlobal Holding Co. is the largest Asian-focused financial services platform in the U.S., offering a comprehensive suite of services through a network of branches and independent agents. The RIA Operations Manager plays a critical leadership role in ensuring regulatory compliance and operational support while managing multiple priorities in a dynamic environment.
Financial ServicesLendingProfessional ServicesWealth Management
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
Qualification
Required
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
Benefits
Competitive salary and benefits package.
Opportunity to work in a collaborative and innovative environment.
Professional development and growth opportunities.
Company
TransGlobal Holding Co.
For over 30 years, TransGlobal Holding Company has been a leader in financial planning, thriving under the visionary leadership of President Philip Hu.
201-500 employees
H1B Sponsorship
TransGlobal Holding Co. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
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Trends of Total Sponsorships
2025 (7)
2024 (1)
2023 (1)
Funding
Current Stage
Growth StageCompany data provided by crunchbase