Teams 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.