Senior Wealth Management Operations & Compliance Lead
Job in
Monrovia, Los Angeles County, California, 91017, USA
Listed on 2026-06-13
Listing for:
TransGlobal Holding Co.
Full Time
position Listed on 2026-06-13
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
Trans Global Holding Co. is seeking a Wealth Management Operations Manager in Monrovia, CA. This role involves overseeing compliance, advisor registration, training programs, and operational support while ensuring adherence to SEC, FINRA, and state regulations.
The successful candidate will have a Bachelor's degree, at least 3 years of relevant experience, and strong organizational skills. Join us and become part of America's largest Asian-focused financial service provider, committed to customer-centric solutions.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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