Operation Manager (SEC compliance)

The Operations Manager oversees the firm’s day-to-day operations, ensuring smooth coordination across departments, adherence to compliance standards, and consistent delivery of high-quality client service. This role is pivotal in maintaining regulatory compliance, operational efficiency, and internal accountability.

Responsibilities

• Oversee daily operations to ensure smooth workflow and cross-departmental efficiency.
• Ensure compliance with SEC regulations, including timely client invoicing and signed investment policy statements.
• Monitor staff responsiveness to client communications (24-hour reply rule).
• Supervise time tracking, attendance, and vacation compliance.
• Oversee continuing education requirements and staff certifications.
• Manage internal compliance related to insider trading, portfolio disclosures, and ethical standards.
• Ensure the accuracy and timeliness of payroll and accounting reports.
• Coordinate with external accountants and verify financial data integrity.
• Monitor staff performance, enforce accountability, and conduct quarterly performance reviews.
• Collaborate with internal teams on onboarding, training, and professional development.
• Support cyclical business operations such as tax season and investment reporting cycles.
• Review credit and background checks to ensure compliance with hiring and security standards.

Work Schedule Monday to Friday, 8AM – 5PM EST

Requirements

Hard Skills