Manager, Retail Alternative Investment Operations

This is a fully remote position, open to applicants in United States.

📋 Description

• Supervise the retail alternative funds operations team while engaging with clients, financial representatives, vendors, and team members.

• Oversee department staff, including recruitment, training, performance evaluations, and corrective measures.

• Conduct individual and group meetings to address procedures and concerns.

• Guide team members through coaching, real-time experiences, and modeling best practices.

• Establish and meet both team and individual objectives.

• Promote associate performance and accountability.

• Collaborate with the Transfer Agency Retail Alternative Investment Operations Leadership Team to create new procedures.

• Maintain regular communication with fund advisor executives and financial brokerage representatives.

• Ensure timely transaction processing through effective workflow management.

• Analyze fund prospectuses to guarantee accurate processing.

• Create comprehensive procedures and instructions for the processing team.

• Approve processing exceptions in accordance with management guidelines.

• Address escalated issues involving challenging callers or clients.

• Provide information and respond to inquiries from fund family contacts.

• Identify and interpret necessary legal documents for processing.

• Ensure adherence to SEC, NICSA, and FINRA regulations.

• Interpret IRS regulations concerning retirement plans and tax reporting.

• Resolve and manage IRS Tax Levies.

• Perform additional tasks as assigned.

⛳️ Requirements

• At least 5 years of experience in client service or a related field.

• A minimum of 1 year of experience in management and leadership roles.

• Background in the financial services industry.

• Familiarity with retirement plans and mutual fund IRS regulations.

• Understanding of retail alternative funds, including interval funds, tender funds, and BDCs.

• Proficient in Microsoft Office Suite and Adobe Acrobat.

• Bachelor’s degree in business administration or a related discipline is preferred.

• Series 6 or 7 license is preferred.

• Equivalent education, experience, and knowledge, skills, and abilities will be taken into account.

• Willingness to work beyond standard hours as needed.

• Capacity to sit and stand regularly.

• Occasionally lift and/or move up to 35 lbs.

• Specific vision abilities are required.

• Reasonable accommodations may be provided to enable the performance of essential functions.

🏝️ Benefits

• Comprehensive health insurance plans.

• Retirement savings options with employer contributions.

• Opportunities for professional development and training.

• Flexible working hours and arrangements.

• Paid time off and holidays.