Compliance Specialist, External Reps

🕒 September 17

🇺🇸 United States – Remote

⏰ Full Time

🟢 Junior

🟡 Mid-level

🚔 Compliance

👻 Ghost score 19%

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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

• Assist with implementation and execution of the Broker-Dealer compliance program • Support internal and external registered representative supervision • Perform compliance reviews according to firm policy and regulatory requirements • Review registered representative registration and supervision, anti-money laundering monitoring, and business continuity tasks • Travel for off-site client office exams as needed • Conduct website and internet reviews • Assist with departmental projects, including annual due diligence reviews of vendors, agreements, clients, and products • Assist with regulatory, internal, and third-party audits of Broker-Dealer compliance programs • Answer client and internal inquiries and help resolve issues • Follow up on inquiries and open workflows with team members and internal teams • Perform other duties as required and assigned

🎯 Requirements

• Bachelor’s degree in business administration, finance, accounting, or related field • 2+ years of experience in the financial industry • Experience working in an operations or compliance role • FINRA Series 6 and Series 26 • FINRA Series 7, Series 24, or ability to obtain within 12 months • Knowledge of securities rules and regulatory requirements • Knowledge of Microsoft Office Suite • Knowledge of Adobe Acrobat • Equivalent education and experience will be considered

🏖️ Benefits

• Remote or virtual work arrangement • May travel for off-site client office exams

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