Posted 18 hours ago
Associate Fund Compliance Administrator
Ultimus Fund SolutionsAssociate Fund Compliance Administrator
Requirements
Bachelor's degree in business administration, accounting, finance, or related field, Experience in financial services or mutual funds industry, Knowledge of automated post-trade compliance systems, Proficiency in Microsoft Office Suite, Proficiency in Adobe Acrobat
Skills
ComplianceMicrosoft OfficeAdobe Acrobat
About the role
Responsibilities
- Monitor fund compliance on a daily and weekly basis regarding investment restrictions in Prospectus, SAI, and the Investment Company Act of 1940
- Assist with monitoring compliance regarding quarterly and annual Internal Revenue Code requirements
- Review investment restrictions to maintain up-to-date compliance checklists for existing clients
- Populate data into compliance systems as required
- Provide finalized compliance reporting to external audit firms and assist with regulatory agency requests
- Assist with regulatory compliance reporting to the Board of Directors and Fund Officers
- Collaborate with fund advisors, accounting, tax, and legal departments to resolve compliance matters
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
- Proficiency in Adobe Acrobat
- Strong analytical, organizational, and multitasking skills
About the Company
Ultimus Fund Solutions provides comprehensive fund administration services, helping clients navigate the complexities of regulatory compliance and financial management.
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Ultimus Fund Solutions · Hauppauge
