Senior Contract Attorney

Job not on LinkedIn

🔥 19 minutes ago

🇺🇸 United States – Remote

⏰ Full Time

🟠 Senior

🧑‍💼 Attorney / Lawyer

👻 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

• Draft, review, and negotiate commercial agreements, including master services agreements, fee schedules, appendices, letters of intent, authorized participant agreements, selling agreements, side letters, amendments, addenda, and vendor agreements • Advise internal stakeholders on contractual risk, regulatory obligations, and commercial terms across registered fund and private fund service relationships • Provide legal guidance on the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable SEC rules and regulations • Support broker-dealer and investment advisory client relationships, including review of FINRA and SEC regulatory requirements as they intersect with service agreements • Collaborate with compliance on AML, Regulation S-P, GDPR, DPL, CCPA, CPRA, and related regulatory requirements in client contracts and RFI responses • Coordinate with outside counsel on litigation and complex transactional matters, managing scope and cost • Partner with commercial, operations, and onboarding teams to align contract terms with operational capabilities and service commitments • Manage the contract lifecycle from initial negotiation through execution, including version control, executed document filing, and administrative close-out • Support M&A-related contract diligence and integration workstreams as needed • Perform other duties as required and assigned

🎯 Requirements

• J.D. from an accredited law school • Active bar admission in good standing in at least one U.S. jurisdiction • Minimum of five years of experience in financial services contract drafting and negotiation • Working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933, each as amended • Demonstrated experience drafting and negotiating complex commercial agreements in a financial services context, including fund administration, fund accounting, transfer agency, investment advisory, and/or broker-dealer relationships • Strong written and oral communication skills • Ability to engage effectively with senior business leaders, institutional clients, and outside counsel • Ability to manage multiple concurrent matters with competing deadlines in a fast-paced environment • Experience spanning mutual fund administration, broker-dealer, and registered investment adviser contexts • Familiarity with alternative investment funds, business development companies, 3(c)7 exempt ’34 Act registered funds, collective investment trusts, unit investment trusts, UCITS, and ETF structures and mechanics • Prior in-house experience at a fund administrator, transfer agent, or asset manager • Exposure to AML program requirements, Regulation S-P, GDPR, and related compliance frameworks • Experience supporting M&A diligence or integration in a financial services context • Regularly sit and stand • Occasionally lift and/or move up to 10 lbs • Specific vision abilities are required • Equivalent education and experience will be considered

🏖️ Benefits

• Occasional travel (approximately 10% or less) may be required • Reasonable accommodation may be made to enable associates to perform the essential functions • Potential for work beyond the normal workday or work week as business needs arise