Senior Compliance Specialist, Advertising

Job not on LinkedIn

🔥 20 hours ago

⛰️ Colorado, Nebraska, +3 more states – Remote

⛰️ Colorado – Remote 🌾 Nebraska – Remote 🗽 New York – Remote 🏈 Ohio – Remote 🧀 Wisconsin – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

👻 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

• Assist with implementation and execution of the Broker-Dealer compliance program, particularly advertising review • Perform compliance reviews according to firm policy and regulatory requirements, including timely review, approval, and filing • 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 • Mentor associates through instruction, coaching, on-the-job experiences, modeling practices, and advising • Answer client and internal inquiries and help resolve issues • Follow up with team and internal teams regarding inquiries and open workflow • Perform other duties as assigned

🎯 Requirements

• Bachelor’s degree in business administration, finance, accounting, or related field • 5+ years of experience in the financial industry • Experience working in an operations or compliance role • FINRA Series 7 & 24 • Equivalent education and experience will be considered • Knowledge of securities rules and regulatory requirements, especially FINRA Rule 2210 and SEC Rule 482 • Microsoft Office Suite • Adobe Acrobat • Ability to successfully communicate and apply regulatory requirements internally and to clients • Ability to plan and delegate the work of others • Multitasking, analytical, and organizational skills • Strategic, meticulous, and initiative-taking approach with commitment to quality, efficiency, and effectiveness

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