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.

• Engage directly with clients, financial representatives, vendors, and team members.

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

• Conduct regular one-on-one and team meetings.

• Guide associates through coaching, practical experiences, and modeling best practices.

• Establish and accomplish team and individual objectives.

• Promote associate performance and accountability.

• Work alongside the Transfer Agency Retail Alternative Investment Operations Leadership Team to create new procedures.

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

• Ensure the timely processing of all transactions through effective workflow management.

• Interpret fund prospectuses to guarantee accurate processing.

• Create detailed procedures and instructions for the processing team.

• Authorize processing exceptions according to management guidelines.

• Address escalated situations with 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 process IRS Tax Levies.

• Carry out other duties as assigned.

⛳️ Requirements

• A minimum of 5 years of experience in client service or a related field.

• At least 1 year of management and leadership experience.

• 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.

• Proficiency in Microsoft Office Suite and Adobe Acrobat.

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

• Series 6 or 7 license is preferred.

• Willingness to work beyond standard hours as needed.

• Ability to sit and stand regularly.

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

• Specific vision abilities are required.

• Equivalent education, experience, and knowledge, skills, and abilities will be considered.

🏝️ Benefits

• Comprehensive health and wellness programs.

• Retirement savings options with employer matching.

• Opportunities for professional development and advancement.

• Flexible work schedules to promote work-life balance.

• Employee recognition and rewards programs.