Compliance Specialist – External Reps

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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, particularly internal and external registered representative supervision • Perform compliance reviews under 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 workflow with team members and internal teams • Perform other assigned duties

🎯 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 or Series 24, or ability to obtain within 12 months • Knowledge of securities rules and regulatory requirements • Proficiency with Microsoft Office Suite • Proficiency with Adobe Acrobat • Ability to communicate and apply regulatory requirements internally and to clients • Troubleshooting, creative and critical thinking 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 resources effectively • Problem-solving and decision-making ability • Clear and concise written and oral presentation skills • Active listening and open exchange of ideas • Ability to identify and obtain resources to accomplish goals • Ability to establish effective working relationships with associates and clientele • Ability to adjust priorities and deadlines in response to changing conditions and obstacles • Equivalent education and experience will be considered