AVP, Fund Compliance

Responsibilities

• Coordinate daily, monthly, and quarterly compliance workflows, including the implementation and testing of policies for mutual fund clients.
• Monitor fund compliance against Prospectus, Statement of Additional Information, and the Investment Company Act of 1940.
• Ensure compliance with quarterly and annual Internal Revenue Code requirements for regulated investment companies.
• Review quarterly compliance reporting prepared by associates and maintain up-to-date compliance checklists for new and existing funds.
• Manage and develop department associates through hiring, training, performance appraisals, and coaching.
• Act as a primary liaison between the company, external audit firms, and regulatory agencies.
• Coordinate regulatory reporting efforts with the Financial Administration team for clients, boards, and financial officers.

Requirements

• Bachelor’s degree in business administration, finance, or a related field.
• 7+ years of regulatory compliance experience.
• Proven experience within the financial services and mutual funds industry.
• Direct experience working with SEC regulators.
• 3-5 years of management and leadership experience.
• Deep knowledge of the Investment Company Act of 1940 and SEC/IRS regulations.

Preferred Qualifications

• Experience with automated post-trade compliance system coding.
• Proficiency in Microsoft Office Suite and Adobe Acrobat.
• Strong analytical, organizational, and troubleshooting skills.

About the Company

Ultimus Fund Solutions provides comprehensive fund administration and compliance services to mutual funds and other investment vehicles, ensuring regulatory excellence and operational efficiency for its clients.