Associate Fund Compliance Administrator

Responsibilities

• Monitor fund compliance on a daily and weekly basis regarding investment restrictions in Prospectus, Statement of Additional Information, and the Investment Company Act of 1940.
• Assist with monitoring compliance regarding quarterly and annual Internal Revenue Code requirements for regulated Investment Companies.
• Maintain up-to-date compliance checklists for existing clients by reviewing investment restrictions.
• Populate data into compliance systems and assist with regulatory compliance reporting to agencies, Boards of Directors, and Fund Officers.
• Provide finalized compliance reporting to external audit firms and assist in gathering information for regulatory agency requests.
• Collaborate with fund advisors, fund accounting, tax, and legal departments to resolve compliance issues and inquiries.

Requirements

• Bachelor’s degree in business administration, accounting, finance, or a related field.
• Experience working within the financial services or mutual funds industry.
• Knowledge of automated post-trade compliance systems.
• Proficiency in Microsoft Office Suite and Adobe Acrobat.
• Strong analytical, organizational, and multitasking skills.
• Ability to communicate ideas clearly and concisely, both written and oral.

About the Company

Ultimus Fund Solutions provides comprehensive services to the investment management industry, helping clients navigate complex regulatory environments and operational requirements.