8+ years of experience managing teams and operationally supporting 40 Act Funds
Series 7 and Series 24 are required; additionally, candidates must hold either the Series 66 or both the Series 63 and Series 65 or be willing to obtain the applicable license(s) within 6 months of hire.
Knowledge of DTCC/NSCC mutual fund processing
Strong proficiency in Excel and PowerPoint; ability to work with large datasets and effectively visualize information
Superior interpersonal, written, and verbal communication skills; able to synthesize information and communicate clearly with both internal and external stakeholders
Ability to work independently and manage/prioritize multiple projects across numerous internal groups
Proactive, resourceful, highly motivated, team player who can coach and mentor team
Comfortable in a fast-paced, high-intensity environment with evolving priorities
Preferred:
Demonstrated familiarity with AI tools (e.g., ChatGPT, Microsoft Copilot, or similar) and a proactive mindset toward using AI to automate workflows, surface insights, and create efficiencies across sales and operations functions
Ability to identify repetitive or manual workflows and apply AI-assisted solutions to improve speed and accuracy
Eagerness to stay current on emerging AI tools relevant to asset product management and sales enablement
Location: New York City; hybrid with a minimum of two days per week in office.
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Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.
Compensation Details
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's
Benefits
Health insuranceDental insuranceVision insurancePerformance bonus
Additional Information
As the Manager of the Dealer Services team, the primary responsibilities include providing operational and client servicing support to the Fund's intermediary partners and retail clients and the oversight of the Fund's external transfer agent provider.
Client Support
Manage trading across omnibus versus direct accounts (broker-dealers, RIAs, retirement platforms)
Oversee call center/investor inquiries, statements, etc for 65k direct accounts
Drive day-to-day client interactions: providing documentation for account transfers, required minimum distributions, exchanges and eligibility requirements for the Fund's different share class offerings
Draft and coordinate client communications
Develop strong relationships with internal groups (Legal, Compliance, Operations, Client Service, Reporting, Marketing, RFP, and Portfolio Management) to process and resolve client requests, manage deadlines, and deliver superior client experience
Provide support for the US Intermediary Sales team for the distribution of our offshore funds
Assist with Board Reporting
Operational Support
Ensure proper adherence to the requirements of the Fund's prospectus and SAI
Monitor large cash flows impacting investor concentration
Oversee key performance indicators and work quality of the external transfer agency providers
Conduct on-site and virtual operational visits (health checks) and manage operational risk assessment of third-party vendors
Partner with product management on all modifications to the existing funds including ETF conversions
Transfer Agency Lead on New Fund launches
Manage industry reporting obligations, including participation in ICI surveys
Process Improvement
Act as a day-to-day coordination point across teams, helping drive internal process improvement and data insights to support business growth
Leverage AI tools and automation to enhance data workflows and reporting processes - reducing manual effort and improving turnaround times
Nb · New York, NY