RIA Sales Support Associate

Prospect Capital

Founded in 1988, Prospect Capital is an alternative asset management firm with $11.9B of assets under management, and pursues multiple strategies in the US, including direct lending, private equity, real estate private equity and structured credit. Prospect has permanent capital and utilizes a long-term, value-oriented approach that employs fundamental bottoms-up research to identify investments that offer attractive risk and reward.

With offices in New York City, Connecticut, and Florida, the firm is comprised of 100+ experienced professionals who value entrepreneurship, intellectual rigor, hard work and continuous improvement.

Job Responsibilities

• Cultivate strong relationships with RIAs, financial advisors, consultants, and other decision-makers in the territory through proactive outreach and networking efforts.


• Support the external sales team by providing detailed product information and sales support.


• Conduct proactive sales calls to current and prospective clients to promote investment products.


• Manage the sales pipeline effectively, from prospecting and lead generation to deal closure, ensuring timely follow-up and engagement with potential clients.


• Stay informed about industry trends, competitor activities, and regulatory changes affecting RIAs and alternative investments, providing insights to internal stakeholders to inform product development and marketing strategies.


• Maintain accurate records of sales activities, client interactions, and market feedback using Salesforce and other CRM systems, providing regular reports and updates to management on territory performance and opportunities.


• Provide timely and accurate responses to internal and external inquiries and requests.


• Coordinate and participate in webinars, conference calls, and other sales events.

Desired Skills and Experience

• Bachelor's degree in finance, economics, business administration, or a related field.


• FINRA Series 7 and 63 required.


• 1-3 years of experience in the financial services industry, preferably in a sales or support role.


• Excellent communication and presentation skills, with the ability to articulate complex investment concepts in a clear and compelling manner.


• Strong organizational and time management skills.


• High level of professionalism and integrity.


• Proficiency in Salesforce and Microsoft Office suite.

The anticipated annual base salary range for this position is $75,000 - $95,000 plus an annual discretionary performance-based bonus. Actual pay may be adjusted based on experience and performance. 

In addition to the base salary, the hired professional is eligible for comprehensive benefits including 100% employer-paid Life Insurance, and AD&D. You'll also have access to pretax benefit accounts, including FSA, HSA, and Commuter accounts. Our perks go beyond the basics with a mentorship program, daily in-office paid breakfast and lunch, company-sponsored ski and sailing trips, and regular happy hours. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.