Associate Legal Counsel

Job not on LinkedIn

🔥 12 hours ago

🇺🇸 United States – Remote

⏰ Full Time

🟠 Senior

🔴 Lead

⚖️ Legal Counsel / General Counsel

👻 Ghost score 10%

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Ultimus Fund Solutions

WebsiteLinkedInAll Job Openings

501 - 1000 employees

💸 Finance

☁️ SaaS

🤝 B2B

💰 Private equity on 2012-07

Finance • SaaS • B2B

Ultimus Fund Solutions is an independent provider of fund administration and investment operations solutions for advisors and asset/fund managers. The firm delivers high-touch, scalable services across public and private markets — including transfer agency, middle-office and investment operations, ETF launch and conversion support, and specialized administration for mutual funds, private equity, private credit, retail alternatives, REITs and other fund wrappers. Ultimus combines these services with integrated, AI-enabled technology platforms (Ultimus Connect, Portfolio Analytics Portal, Workflow Manager, Investor and Advisor Portal, Private Investor Portal and related tools) to provide data, reporting and workflow automation. According to its public materials it administers $775B+ in assets, supports 2,500+ funds, 450+ clients, and 1,200+ associates.

📋 Description

• Provide legal administration services addressing the basic legal needs of multiple clients. • Prepare client registration statement updates and other client SEC filings. • Prepare and distribute client board and committee materials. • Attend board and committee meetings by telephone or, when requested, in person, to record notes. • Draft minutes of client board and committee meetings. • Update clients on recent regulatory events and conduct basic regulatory research on the Investment Company Act of 1940 without providing legal conclusions. • Draft Ultimus contract amendments for services provided to assigned clients. • Ensure completion of internal compliance documents, including filing checklists, accurately and timely. • Maintain strong Legal Administration relationships and high client satisfaction. • Prepare filings and documents for special regulatory add-on services, including new funds/trusts, proxy and information statements, and Form N-14. • Mentor associates through instruction, coaching, on-the-job experiences, modeling effective practices, and advising on methods. • Serve on departmental committees as requested. • Maintain contact with internal departments and external vendors/relationships to meet client needs. • Interact directly with team members and, on a limited basis, with clients. • Perform other assigned duties as required.

🎯 Requirements

• A J.D. and membership (or anticipated membership) in the bar of at least one state. • 0-3 years of experience as a 1940 Act attorney. • Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and relevant securities laws. • Proficiency with Microsoft Office Suite. • Proficiency with Adobe Acrobat. • Client service skills and aptitude for understanding clients’ basic legal and business needs. • Proficiency in written communication, including explaining legal principles in plain English. • Legal research and legal analysis skills. • Multitasking, analytical, and organizational skills. • Initiative-taking, strategic, and meticulous approach with commitment to quality, efficiency, and effectiveness. • Personal integrity, responsibility, and accountability. • Ability to use time and information effectively. • Ability to solve problems and make decisions. • Clear and concise written and oral presentation skills. • Active listening and open exchange of ideas. • Ability to identify, arrange for, and obtain resources to accomplish goals. • Ability to establish and develop effective working relationships. • Ability to adapt priorities and deadlines to changing conditions and obstacles.