Manager – Funds Client Services & Support (Dealer Services)

Neuberger Berman•New York, NY

1d•Hybrid

About The Position

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. This role involves managing trading across various account types, overseeing investor inquiries and statements for a large direct account base, and driving day-to-day client interactions. The position also requires developing strong relationships with internal departments, providing support for the US Intermediary Sales team, and ensuring adherence to fund prospectus requirements. Additionally, the role involves monitoring cash flows, overseeing transfer agency providers, conducting operational visits, managing operational risk, and partnering on fund modifications and new fund launches. A key aspect of this role is leveraging AI tools and automation to enhance data workflows, reporting processes, and reduce manual effort.

Requirements

Bachelor's degree required, preferably in Finance, Economics, Business, or a related field
10+ 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
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
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
Applicants must be authorized to work in the United States without the need for current or future sponsorship.

Responsibilities

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
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
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