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…