Teams at Ultimus Inc.

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.

Provides shareholder and financial representative support through phone, email, and chat. Answers mutual fund and account questions, processes complex trades and account maintenance, performs quality-control reviews, assists with associate onboarding, and follows compliance procedures using transfer agency, workflow, and communication systems.

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.