Wealth Management Client Associate (Bilingual in Chinese)

Job Description

Job Description

GENERAL FUNCTION / SUMMARY

The Operations Assistant provides essential support in managing daily operational tasks, ensuring seamless execution of financial advisory services. This role involves account management, trade execution, compliance support, investment research, and client communication. The ideal candidate is detail-oriented, highly organized, and proactive in supporting investment operations, portfolio management, and compliance tasks.

MAJOR DUTIES AND RESPONSIBILITIES

Investment & Portfolio Management

• Execute daily trading activities, maintain a trade log, and download the trade blotter.
• Conduct monthly portfolio and cash rebalancing trades to maintain investment strategies.
• Perform investment research and provide market updates for internal and external distribution.
• Coordinate portfolio review meetings to foster collaboration between portfolio managers and clients.

Compliance & Regulatory Support

• Assist with compliance tasks, including new IAR (Investment Advisor Representative) registrations, updating compliance documents, and maintaining logs and reports.
• Calculate compliance fees and track annual renewals for distribution to clients.
• Support SEC audit preparations, ensuring all required documents and reports are in place.
• Review marketing materials, pitchbooks, and newsletters to ensure compliance with industry regulations.

Advisory Operations & Administrative Support

• Handle operational tasks such as account opening issues, wire transfers, check deposits, and alerts.
• Process Donor-Advised Fund (DAF) distribution and contribution requests.
• Maintain and update financial logs and reports, ensuring compliance with regulatory requirements.
• Review monthly AUM (Assets Under Management) and ensure accurate data tracking.
• Assist with seminars, office events, and advisory-related meetings.

Client & Agent Support

• Respond to clients' and agents' emails and phone calls, including managing inquiries through the hotline.
• Assist in reviewing client fee calculations and agent split to ensure accuracy.
• Manage annual renewals and client distributions, ensuring timely processing.

Collaboration & Additional Duties

• Attend TGA meetings and collaborate with co-workers to enhance operational efficiency.
• Train new employees on operational processes, compliance procedures, and investment-related tasks.

BASIC QUALIFICATIONS

• Bachelor's degree in Finance, Business Administration, or a related field preferred.
• Minimum of 2+ years of experience in financial advisory operations, investment support, or compliance.
• Strong attention to detail and accuracy in handling financial transactions.
• Knowledge of investment operations, trade execution, and financial compliance.
• Proficiency in Microsoft Office (Excel, Word, Outlook)
• Excellent communication skills to interact with clients, agents, and internal teams.
• Ability to prioritize multiple tasks and manage deadlines efficiently.

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 $22.5 - $28.85/hour based on experience.