Manager, Retail Alternative Investment Operations Overview • The Manager, Retail Alternative Investment Operations oversees operations for retail alternative funds, ensuring compliance and efficiency. • Lead a dynamic team, fostering accountability and professional growth through mentorship and coaching. • Collaborate with leadership to refine processes and develop innovative procedures for operational excellence. • Engage with fund advisors, financial representatives, and vendors to maintain strong relationships and resolve issues. • Ensure compliance with SEC, NICSA, FINRA, and IRS regulations, maintaining high standards of accuracy. • Interpret legal documents and fund prospectuses to guide transaction processing and decision-making. • Develop and implement detailed procedures to enhance team efficiency and workflow management. • Handle escalated situations with professionalism, providing solutions and maintaining client satisfaction. • Contribute to a hybrid work environment, balancing flexibility with collaboration. Manager, Retail Alternative Investment Operations Key Responsibilities & Duties • Manage department associates, including hiring, training, performance evaluations, and corrective actions. • Conduct regular meetings to address procedures, issues, and team development. • Mentor associates through coaching, real-time experiences, and practice modeling. • Collaborate with leadership to develop and implement new operational procedures. • Ensure timely transaction processing and workflow management. • Interpret fund prospectuses and legal documents for accurate processing. • Handle escalated client situations, providing solutions and maintaining satisfaction. • Ensure compliance with industry regulations and standards. • Develop systems and procedures to enhance department efficiency and performance. Manager, Retail Alternative Investment Operations Job Requirements • Bachelor’s degree in business administration or related field preferred. • Minimum of 5 years of experience in client service or related field. • At least 1 year of management and leadership experience. • Experience in the financial services industry is essential. • Series 6 or 7 license preferred. • Proficiency in Microsoft Office Suite and Adobe Acrobat. • Knowledge of retail alternative funds, including interval funds and tender funds. • Strong analytical, organizational, and multitasking skills. • Ability to adapt priorities and deadlines to changing conditions.