Senior Manager - Fund Client Services and Support Lead

nb; New York (NY); Sur place; USD 180 000 - 280 000; Plein temps

Résumé du poste

Neuberger seeks a Senior Manager to lead Funds Client Services & Support, guiding the Retail and Intermediary desks and ensuring white-glove service for broker-dealers, RIAs, retirement platforms, and direct retail accounts.

You will drive the fund lifecycle, oversee the transfer agent and NSCC processing, and push AI-enabled automation to improve efficiency while leading a high-performance client service team across funds operations.

Qualifications

• Bachelor's degree in Finance, Economics, Business or related field.
• Series 7 and Series 24 required at hire.
• Within 6 months: Series 66 or Series 63 and 65.
• 10+ years in mutual fund operations or client servicing.
• Hands-on transfer agency experience including shareholder processing and investor record integrity.
• Knowledge of broker-dealer operations and intermediary servicing (omnibus/direct accounts).
• Familiarity with fund prospectuses and SAIs; retirement account servicing such as RMDs and transfers.
• Experience governing a third-party transfer agent and monitoring vendor performance.
• Ability to lead, manage complex client escalations, and coordinate across Legal, Compliance, Ops, Reporting, Marketing, RFP, Portfolio Mgmt.
• Strong client leadership and relationship management with data-driven improvement mindset.

Responsabilités

• Lead the Retail and Intermediary desks, including the call center and investor inquiries.
• Oversee daily trading across omnibus and direct accounts, including share class exchanges and clearing with intermediaries.
• Deliver a white-glove service model for broker-dealers and retirement platform relationships.
• Guide clients through transfers, required minimum distributions, exchanges, and share class eligibility.
• Draft and coordinate client communications, and contribute to Board reporting.
• Support the US Intermediary Sales team in distributing offshore funds.
• Oversee the external transfer agent and NSCC activity, monitoring KPIs and service levels.
• Conduct operational health checks and vendor risk assessments; ensure adherence to prospectuses and SAIs.
• Monitor large cash flows and support closed-end fund operations; manage industry reporting (ICI surveys).
• Partner with Product on ETF conversions and new fund launches; collaborate with Legal, Compliance, Ops, Reporting, Marketing, RFP, PM." Lead and coach teams; apply data insights and AI automation to improve processes and speed.

Connaissances

Client relationship leadership

Team leadership

Operational risk management

Cross-functional collaboration

Data-driven process improvement

Formation

Bachelor's degree in Finance Economics or Business

Series 7

Series 24

Series 66

Series 63 and 65

Outils

NSCC Fund/Serv platform

Description du poste

Neuberger is seeking a Senior Manager to lead Funds Client Services & Support, the team that stands behind our funds for the broker-dealers, wirehouses, RIAs, and retirement platforms that distribute them, and for direct retail accounts.

You will lead the Retail desk, which includes our call center, and the Intermediary desk. You will also govern the external transfer agent and NSCC processing that support our 40 Act funds, and you will provide a white-glove experience to our key distribution partners. As Transfer Agency lead on new fund launches and ETF conversions, you will help shape the fund lifecycle.

This role suits a hands-on, relationship-driven leader with deep mutual fund operations and transfer agency experience, sound judgment under pressure, and a practical interest in using automation and AI to work more efficiently.

What You Will Do

Lead Client and Intermediary Servicing

• Lead the Retail and Intermediary desks, including the call center, investor inquiries, and statements.
• Oversee daily trading across omnibus and direct accounts, including share class exchanges and clearing of fund activity with intermediaries.
• Deliver a white-glove service model for our largest broker-dealer and distribution platform relationships, with a service approach suited to retirement platforms.
• Guide clients through account transfers, required minimum distributions, exchanges, and share class eligibility.
• Draft and coordinate client communications, and contribute to Board reporting.
• Support the US Intermediary Sales team in distributing our offshore funds.

Govern the Transfer Agent and Operational Controls

• Oversee the external transfer agent and NSCC activity, monitoring performance against key performance indicators and service levels, investigating issues, and escalating risks.
• Conduct on-site and virtual operational health checks, and manage operational risk assessments of third-party vendors.
• Ensure adherence to each fund's prospectus and Statement of Additional Information (SAI).
• Monitor large cash flows that may affect investor concentration.
• Support operations for closed-end funds.
• Manage industry reporting obligations, including ICI surveys.

Shape the Fund Lifecycle

• Partner with Product Management on changes to existing funds, including ETF conversions, and serve as Transfer Agency lead on new fund launches.
• Work closely with Legal, Compliance, Operations, Reporting, Marketing, RFP, and Portfolio Management to meet deadlines and deliver a consistent client experience.

Lead People and Drive Improvement

• Lead, coach, and develop a team of client service professionals.
• Act as a day-to-day coordination point across teams, using data insights and AI-enabled automation to improve processes, reduce manual effort, and shorten turnaround times.

What You Bring

Required:

Education, Licenses and Registrations

• Bachelor's degree, preferably in Finance, Economics, Business, or a related field.
• Required at hire: Series 7 and Series 24 (the role supervises trading and client-facing activity).
• Required within 6 months of hire, if not already held: Series 66, or both Series 63 and Series 65.

Experience and Industry Knowledge

• 10+ years of experience in mutual fund operations or client servicing, including managing teams and supporting 40 Act funds.
• Hands-on transfer agency experience, including day-to-day servicing, shareholder processing, and investor record integrity.
• Working knowledge of broker-dealer operations and intermediary servicing, including omnibus and direct account structures, share class exchanges, and clearing of fund activity.
• Extensive knowledge of the NSCC Fund/Serv platform including the networking of accounts and the oversight of the Mutual Fund Profile.
• Familiarity with the requirements of fund prospectuses and Statements of Additional Information, and with retirement account servicing such as required minimum distributions and account transfers.

Vendor Oversight and Operational Risk

• Experience governing a third-party transfer agent or similar service provider. This includes setting and monitoring service levels, validating vendor reporting, investigating discrepancies, and escalating issues to resolution.
• Ability to assess operational risk and conduct vendor health checks, with sound judgment on when to elevate.
• Strong attention to detail and a control-minded approach, particularly when monitoring large cash flows and ensuring fund compliance.

Client Leadership

• A record of building trusted, long-term relationships with broker-dealers, wirehouses, RIAs, and retirement platforms, and of providing a high-touch service model.
• Skill in managing complex client escalations calmly, and in coordinating across Legal, Compliance, Operations, Reporting, Marketing, RFP, and Portfolio Management to resolve them.
• Excellent written, verbal, and interpersonal communication skills, including the ability to draft clear client communications and Board-level reporting.

People Leadership

• Experience leading, coaching, and de