Manager, Retail Alternative Investment Operations
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Job Description
Retail alternative investment operations manager overseeing fund transactions, compliance, and client service. Leading associates and improving processes for alternative investment funds in financial services.
Responsibilities:
- Oversee the retail alternative funds operations team
- Interact directly with clients, financial representatives, vendors, and associates
- Manage department associates, including hiring, training, performance appraisals, and corrective actions
- Conduct regular one-on-one and team meetings
- Mentor associates through coaching, real-time experiences, and practice modeling
- Set and achieve team and individual goals
- Foster associate performance and accountability
- Collaborate with the Transfer Agency Retail Alternative Investment Operations Leadership Team to develop new procedures
- Maintain frequent contact with fund advisor executives and financial brokerage representatives
- Ensure timely processing of all transactions through workflow management
- Interpret fund prospectuses and ensure accurate processing
- Develop detailed procedures and instructions for the processing team
- Authorize processing exceptions per management guidelines
- Handle escalated situations with difficult callers or clients
- Provide information and answer questions for fund family contacts
- Determine and interpret required legal documents for processing
- Ensure compliance with SEC, NICSA, and FINRA regulations
- Interpret IRS regulations for retirement plans and tax reporting
- Resolve and process IRS Tax Levies
- Perform other duties as assigned
Requirements:
- Minimum of 5 years of experience in client service or related field
- Minimum of 1 year of management and leadership experience
- Experience in the financial services industry
- Knowledge of retirement plans and mutual fund IRS regulations
- Knowledge of retail alternative funds, including interval funds, tender funds, and BDCs
- Proficiency with Microsoft Office Suite and Adobe Acrobat
- Bachelor’s degree in business administration or related field preferred
- Series 6 or 7 license preferred
- Willingness to work beyond normal hours as needed
- Ability to sit and stand regularly
- Occasionally lift and/or move up to 35 lbs.
- Specific vision abilities required
- Equivalent education, experience, and KSA’s will be considered
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