Wealth Management Operations Manager (Bilingual in Chinese) – H1B Sponsorship Available

Wealth Management Operations Manager leads regulatory compliance, advisor registration, training programs, and reporting within a fast-paced wealth-management environment. Key duties include overseeing renewal filings and year-end AUM calculations, coordinating client distributions, filing state reports, managing compliance training, reviewing quarterly reports from IARs and staff, ensuring marketing materials meet regulatory standards, supporting SEC audits, and maintaining robust logs and reporting for examinations. The role also covers financial and operational oversight such as invoicing, coordinating with Accounting, analyzing financial statements, validating client fee calculations and compensation structures, and supervising daily trading operations including rebalancing and SN transactions. Client and employee support, along with vendor due diligence and monitoring, are core components, as is ensuring adherence to SEC/FINRA and state requirements. The position offers H-1B sponsorship and a salary in the $78K–$100K/year range, with a Bachelor’s degree and multiple years of compliance/operations experience as prerequisites, and preferred licenses/series certifications.