Position Overview

The Principal, Investor Operations, will play a key leadership role in overseeing investor onboarding, capital activity, and operational support across fund offerings. This role partners closely with internal teams, distribution channels, and external service providers to ensure seamless execution, accurate reporting, and best-in-class investor experience.

Key Responsibilities

Investor Operations & Capital Activity

• Oversee investor onboarding across institutional and retail channels, including broker-dealers and wirehouses

• Manage and communicate capital events, including capital calls, distributions, dividends, and tender offers

• Review capital activity (e.g., capital calls, distributions, PCAPs) in partnership with fund accounting

• Maintain shadow books of investor activity and reconcile against transfer agent records

Trade & Platform Oversight

• Monitor NSCC Fund/SERV activity, including trade submission, confirmation, reconciliation, and settlement validation

• Lead onboarding of new dealers and custodians, including NSCC Trading Level Matrix setup (Levels 0, 3, 4) and selling agreement validation

Stakeholder & Vendor Management

• Serve as primary liaison with fund administrators; oversee deliverables and escalate issues as needed

• Build and maintain relationships with custodians, transfer agents, broker-dealers, and third-party vendors

• Partner with internal sales teams and respond to investor and advisor inquiries

Reporting & Analytics

• Support capital raise and investor performance reporting

• Track and validate broker-dealer economics and commissions

• Review fund documentation (PPMs, LPAs, prospectuses) to extract operational requirements

• Analyze trends in investor inquiries and implement process improvements

Process Improvement & Projects

• Lead initiatives to enhance operational efficiency, scalability, and investor experience

• Support development and implementation of technology platforms and reporting tools

• Ensure processes are well-documented and consistently executed

Team Leadership

• Manage, mentor, and develop analysts and associates

• Oversee day-to-day team activities and ensure adherence to controls and deadlines

• Act as escalation point for complex operational issues

Qualifications

• 8–12 years of experience in financial services, preferably within alternatives or asset management

• Bachelor’s degree required

• Experience supporting both registered and private funds

Experience & Technical Expertise

• Strong knowledge of middle- and back-office functions, including trade lifecycle, settlement, reconciliation, and reporting

• Hands-on experience with NSCC Fund/SERV trading, repurchase processing, and daily operations

• Experience working with fund administrators and transfer agents (e.g., DST, SEI, State Street, DTCC/NSCC).

• Familiarity with major custodians and clearing firms (e.g., Schwab, Fidelity/NFS, Pershing, RBC)

• Familiarity with platforms such as Anduin, iCapital, and CAIS is a plus

Skills & Competencies

• Strong organizational skills with the ability to manage multiple priorities

• High attention to detail and commitment to accuracy

• Excellent written and verbal communication skills

• Self-motivated with a proactive, ownership mindset

• Ability to handle sensitive and confidential information with discretion

• Advanced proficiency in Microsoft Excel and PowerPoint

• Reliable, accountable, and deadline-driven
  The base annual salary range for this New Jersey based position will be $175,000 to $185,000. Actual salary offered will be based on the candidate’s skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.