Associate Fund Compliance Administrator

SUMMARY

The Associate Fund Compliance Administrator is responsible for a portion of the daily, monthly, and quarterly workflow as it pertains to compliance for the clients of Ultimus Fund Solutions (UFS.) These activities include monitoring funds to ensure compliance with various rules and regulations.

KEY ACCOUNTABILITIES

FINANCIAL COMPLIANCE

• Assists with monitoring fund compliance on a daily and weekly basis with consideration to investment restrictions detailed in Prospectus, Statement of Additional Information, and Investment Company Act of 1940.
• Assists with monitoring fund compliance with consideration to the quarterly and annual requirements of Internal Revenue Code for qualifications as regulated Investment Company.
• Assists with reviews of investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for existing clients.
• Populates data into compliance system, as needed.
• Works with team leads to respond to client requests and inquiries with respect to compliance matters.

FUND AUDITS

• Provides finalized compliance reporting to external audit firms when requested.
• Assists in gathering information for requests from regulatory agencies, as needed.

REGULATORY REPORTING

• Assists with completion of regulatory compliance reporting to regulatory agencies, Board of Directors, and Fund Officers.

WORKING RELATIONSHIPS

• Contact as needed with fund advisors regarding general information, resolution of compliance issues, inquiries or reporting requirements.
• Contact with fund accounting, financial administration, tax, and legal departments as needed with regards to financial compliance matters.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

• Bachelor’s degree in business administration, accounting, finance, or related field.
• Experience working within the financial services and/or the mutual funds industry.

• Equivalent education and experience will be considered.

KNOWLEDGE

• Automated post-trade compliance system.
• Microsoft Office Suite.
• Adobe Acrobat.

SKILLS AND ABILITIES

• Troubleshoots issues utilizing creative and critical thinking skills.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrates personal integrity, responsibility, and accountability.
• Effectively uses resources such as time and information in conjunction with associates.
• Participates in solving problems and making decisions.
• Presents and expresses ideas and information, written and oral, clearly, and concisely.
• Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
• Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
• Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
• Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.