Home Office Services Senior Vice President, Broker Dealer

CAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes. CAIS also delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience. CAIS supports over 50,000 advisors who oversee more than $6 trillion in network assets.  

We are seeking a Senior Vice President to lead our Broker Dealer Home Office Services team. This leadership role focuses on overseeing a team of client service professionals who manage key client relationships while also directly managing certain high-profile clients. The ideal candidate will ensure the team delivers high-quality client service, driving client success across all transaction phases of the alternative investments life cycle. This position offers a unique opportunity to provide hands-on leadership in alternative investments, directly impact client relationships, and contribute to the growth and success of a dynamic firm. 

Responsibilities: 

• Serve as an innovative thinker who can strategically elevate the team's performance and impact, driving long-term success and scalability.
• Identify opportunities to enhance processes, improve client education on best practices, and implement technology enhancements to improve the client experience. Collaborate cross-functionally to execute these improvements.
• Lead, mentor, and manage a team of client service professionals, ensuring high performance, development, and accountability. Set and monitor key performance metrics for the team, driving continuous improvement and operational excellence.
• Collaborate cross-functionally with internal teams (Advisor Services, Business Development, Marketing, Investments, Operations, Product, Technology) to enhance client service delivery and drive firm-wide alignment.
• Maintain detailed records of client interactions, monitor trends, and leverage data-driven insights to optimize client service strategies.
• Develop and maintain in-depth knowledge of the CAIS platform and investment products, providing expert guidance to clients and leading platform demonstrations.
• Ensure team expertise in trailer payments, placement fees, and sales loads, including fund and custodian processes.
• Manage key client relationships directly, responding to inquiries, resolving issues, and ensuring seamless service delivery.
• Oversee the transaction lifecycle of key broker dealer clients, ensuring critical deadlines are met (e.g., subscription documents, transfers, capital calls, AML/KYC, redemptions, fund closings).
• Participate in the onboarding of new clients, fostering deep relationships and educating them on best practices for leveraging CAIS for success. 

Qualifications: 

• Bachelor’s degree in economics, finance, or a related field.
• 8+ years of experience in client service, product management, or investment operations within a fund or financial services firm.
• Experience in alternative investments is strongly preferred.
• FINRA Series 7, 63 registrations preferred or willingness to obtain them within a designated timeframe.
• Proven ability to lead and manage a small team while also maintaining direct client relationships.
• Strong strategic thinking, problem-solving, and multitasking abilities.
• Proficiency in Microsoft Office and CRM platforms.
• Exceptional communication skills and a commitment to excellence in client service and leadership. 

CAIS is consistently recognized as a Best Place to Work, and our culture is at the heart of our success. We are committed to fostering an inclusive environment where employees can be their most authentic selves and feel inspired and supported to bring their voice forward to drive community, growth, and innovation. We are an equal opportunity employer, and do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.  Learn more about our culture, benefits, and people at https://www.caisgroup.com/our-company/careers.   

CAIS’ compensation package includes a market competitive salary, a performance bonus, and exceptional benefits. If you are located in New York, New York, the base salary range for this role is $150,000 - $175,000. Actual compensation is influenced by a wide array of factors including but not limited to skill set, level of experience, and specific office location. 

CAIS offers a comprehensive benefits package that includes generously subsidized healthcare with 100% employer paid dental and vision insurance, an employer matched retirement plan, wellness programs, and flexible PTO and generous parental leave. Additionally, CAIS offers a hybrid in-office model. For more information on our benefits and career opportunities, please visit our website: https://www.caisgroup.com/our-company/careers.