Manager – Funds Client Services & Support (Dealer Services)
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. 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
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
Benefits
- paid time off
- medical/dental/vision insurance
- retirement
- life insurance
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What This Job Offers
Job Type
Full-time
Career Level
Manager
