AVP, Fund Compliance

Responsibilities

• Coordinate daily, monthly, and quarterly compliance workflows, including the implementation and monitoring of policies for mutual fund clients.
• Monitor fund compliance against Prospectus, Statement of Additional Information, and the Investment Company Act of 1940.
• Review quarterly compliance reporting and maintain up-to-date compliance checklists for new fund launches and existing clients.
• Code newly launched funds into compliance systems and perform ongoing testing of existing client fund functionality.
• Provide advice and training on SEC, IRS, and internal regulations to clients and internal personnel.
• Manage a team of associates, including hiring, training, performance appraisals, and professional development.
• Act as a primary liaison between the company and external audit firms or regulatory agencies.

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.

Preferred Qualifications

• Proficiency with automated post-trade compliance system coding.
• Deep understanding of the Investment Company Act of 1940 and IRS regulations.
• Advanced skills in Microsoft Office Suite and Adobe Acrobat.

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 clients.