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 standardsWork Schedule Monday to Friday, 8AM - 5PM ESTRequirementsMinimum 4 years of experience in operations rolesProven leadership experience managing staff and enforcing accountabilityFamiliarity with SEC compliance and financial services operationsAbility to interpret accounting and payroll reportsExperience coordinating cross-functional teams and training plansHard SkillsProficiency in Microsoft Office Suite (Excel, Outlook, Word)Familiarity with QuickBooks and time-tracking softwareAbility to read and assess spreadsheets and financial reportsUnderstanding of compliance documentation and regulatory requirementsBasic knowledge of accounting principles and payroll systems