Jobs at Ultimus Inc.

Provides legal administration and regulatory support for investment company clients, including SEC filings, registration updates, board materials, meeting minutes, contract amendments, compliance documentation, and regulatory research under the Investment Company Act of 1940. Maintains client relationships, mentors associates, coordinates with internal teams and vendors, and supports specialized fund and proxy filings.

Leads client and trust relationship management for assigned financial services accounts, driving retention, wallet share, cross-selling, client satisfaction, and strategic growth. Develops account plans, oversees client governance and service issues, supports business development and marketing, manages risk and compliance concerns, and leads fund or product projects. Manages, mentors, and develops the Relationship Management team while partnering with internal service groups and senior client stakeholders.

Performs mutual fund tax preparation, regulatory compliance, and audit administration. Responsibilities include calculating income and capital gain distributions, preparing Subchapter M and excise tax work papers, analyzing book-tax differences, researching tax laws, supporting regulatory reporting, and responding to audit and IRS requests. The role requires collaboration with financial administration, regulatory agencies, auditors, and fund stakeholders while maintaining accurate tax records and compliance documentation.

Performs daily fund valuation and accounting processes for assigned mutual funds and investment products. Responsibilities include reconciling security trades and fund records, recording transactions, forecasting available cash, applying accounting principles to financial assets, preparing monthly reconciliations, and supporting annual fund audits. The role collaborates with fund accounting, transfer agency, middle office teams, custodians, advisors, and external business partners.

Processes complex mutual fund and retirement account transactions, adjustments, transfers, reconciliations, and account maintenance while ensuring compliance with IRS, SEC, and prospectus guidelines. Establishes new accounts, manages shareholder records, resolves issues, prepares reports, and maintains accurate financial documentation. Serves as a liaison to shareholders, financial representatives, broker-dealers, fund contacts, and internal teams. Mentors associates, delegates work, supports process improvements, and promotes quality and efficiency.

Supports daily, monthly, and quarterly mutual fund compliance workflows, including monitoring investment restrictions, reviewing regulatory requirements, maintaining compliance checklists, populating compliance systems, preparing audit materials, and assisting with regulatory reporting. The role communicates with fund advisors, auditors, regulatory agencies, and internal accounting, tax, financial administration, and legal teams.

Leads legal administration for mutual fund clients, including SEC filings, registration statement updates, board and committee materials, meeting minutes, governance documents, regulatory calendars, and filing processes. Serves as a primary client contact, coordinates with fund counsel and service providers, resolves client issues, supports legal administration procedures, and mentors associates. Requires substantial paralegal experience and expertise with the Investment Company Act of 1940.

Processes mutual fund and retirement account transactions, establishes and maintains client accounts, manages transfers and complex financial matters, ensures regulatory compliance, balances deposits, and resolves documentation issues. The role collaborates with internal teams and periodically supports shareholders, financial advisors, and brokerage firms.

Prepares and files financial reports for mutual funds, ETFs, and investment products; maintains expense budgets and accruals; processes expense payments; calculates management fees and reimbursements; monitors fund performance; prepares board reports; and supports regulatory, audit, client, rating agency, and ad hoc reporting activities.

Leads enterprise AI strategy, product roadmapping, and cross-functional transformation initiatives. Identifies and scales high-impact AI use cases, oversees solution development and deployment, redesigns workflows, drives adoption, advises executive leadership on AI investments and governance, and establishes KPIs for efficiency, cost, quality, and client outcomes. The role also mentors associates and manages stakeholders across business, operations, and technology teams.

The Senior Compliance Analyst conducts compliance testing, evaluates risks and controls, maintains compliance resources and documentation, supports regulatory examinations and audits, prepares committee materials and certifications, monitors policy adherence, and presents findings. The role requires financial services compliance expertise, knowledge of SEC and FINRA regulations, strong analytical and organizational skills, and the ability to mentor associates and coordinate compliance activities.

Supports transfer agency operations by coordinating technology integrations, validating account and transaction data, performing reconciliations, reviewing trades, maintaining procedures, and managing recurring alternative investment processing. Serves as a contact for clients, FinTech partners, and brokerage firms, resolves account issues, researches data gaps, and collaborates cross-functionally on onboarding, reporting, automation, and process improvements.

Provides transfer agency and client support services for 529 plans, including account enrollment, transfers, investment changes, complex trades, account maintenance, reconciliations, correspondence, and compliance-related inquiries. Supports account owners, financial representatives, vendors, and internal teams through phone, email, and chat. Maintains accurate records, applies plan and legal requirements, processes documentation, and assists with onboarding new associates.

Leads legal administration services for mutual fund clients and manages a paralegal team. Oversees SEC filings, registration statements, board and committee materials, meeting minutes, regulatory calendars, governance documents, contracts, and client issue resolution. Manages hiring, training, performance, delegation, procedures, and departmental goals while serving as a primary client contact. Requires substantial paralegal or legal administration experience, Investment Company Act of 1940 expertise, and management experience.

Prepares mutual fund tax provisions, estimated income and capital gain distributions, tax work papers, and distribution analyses. Researches federal and state tax laws, supports regulatory compliance reporting, analyzes book-tax differences, and maintains tax account roll-forwards. Coordinates with financial administration, external auditors, regulatory agencies, and the IRS by gathering information and responding to inquiries. Requires strong analytical, organizational, communication, problem-solving, and tax research skills.

Oversees ETF fund accounting, NAV valuation, trial balances, basket processing, reconciliations, reporting, and regulatory compliance. Reviews complex fund calculations, resolves settlement and accounting issues, supports audits, manages client and custodian relationships, and oversees operational controls. Leads fund accounting associates through hiring, training, delegation, performance management, and process improvement. Applies accounting principles to various securities and prepares financial, board, budget, and N-PORT reporting.

Develops and supports Envision Power Agent applications, SSRS reports, SQL queries, stored procedures, and JAMS automation jobs. Resolves application support tickets, monitors workflows, supports releases and upgrades, and collaborates with business and technical stakeholders to deliver reliable reporting and operational solutions. The role also uses PowerShell or C# automation, Azure DevOps, and Microsoft technologies while supporting Transfer Agency operations.

Supports and administers transfer agent and shareholder recordkeeping systems. Documents client requirements, troubleshoots issues, runs batch and reporting jobs, reviews client output, and may assist with billing. Acts as a liaison between technical, operational, and client teams during onboarding and change control, while answering questions about services and system functions.

Supports senior sales professionals throughout the business development lifecycle by coordinating meetings and follow-ups, preparing proposals and sales materials, maintaining CRM data, assisting with reports and competitive research, and participating in client calls and networking events. The role develops knowledge of fund administration and accounting services, collaborates with sales and operations teams, and may eventually lead deals with sales leadership.

Prepares quarterly, semi-annual, and annual financial reports for mutual funds, ETFs, and other investment products. Manages expense budgets, accruals, payment authorizations, management fee calculations, advisor reimbursements, fund performance monitoring, and board reporting. The role also handles ad hoc projects, communicates with internal and external partners, and supports compliance, audit, and financial statement activities.