SVP, Associate General Counsel

Job not on LinkedIn

🔥 0 minutes ago

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

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

• Develop strong working relationships with Ultimus department heads and deliver Legal Administration services to assigned clients • Provide strategic leadership within the Legal Administration Department • Resolve routine and complex client service and potential-liability issues, escalating to and working with senior management • Support sales, due diligence, onboarding, and presentations for prospective clients • Research and prepare memoranda and reports on general industry issues • Supervise or prepare client registration statement updates and other SEC filings • Lead or prepare and distribute client board and committee materials • Attend board and committee meetings, record notes, make presentations, and lead meetings when requested • Supervise or draft minutes of client board and committee meetings • Instruct direct reports on registration statement updates, board materials, and client documents • Provide clients with regulatory updates and conduct non-legal-conclusion regulatory research • Assist Corporate Legal with contract amendments • Complete internal compliance-related documents for assigned clients • Supervise or prepare filings and documents for special regulatory add-on services, including new funds/trusts, proxy and information statements, and Form N-14 • Serve on departmental, interdepartmental, and ICI committees • Coordinate department initiatives, including policy and procedure updates • Provide legal support to Corporate Legal and Internal Compliance Departments • Manage associates through hiring, training, development, delegation, appraisals, salary recommendations, coaching, counseling, and corrective actions • Conduct regular one-on-one and team meetings • Establish team and individual goals and hold associates accountable • Mentor associates and maintain relationships with internal departments, external vendors, and clients • Ensure strong client relationships and high client satisfaction

🎯 Requirements

• 15+ years of experience as a 1940 Act attorney • Legal experience at a fund administrator or fund adviser • J.D. and membership in the bar of at least one state • 7–10 years of management and leadership experience • Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934 • Knowledge of legal, business, distribution, marketing, and structural issues facing mutual funds • Proficiency with Microsoft Office Suite and Adobe Acrobat • High proficiency in written communication, including explaining complex legal principles in plain English • Excellent research and client service skills • Ability to lead board meetings and present legal administration services • Ability to plan, delegate, motivate, assess performance, develop procedures, troubleshoot, multitask, and make decisions • Strong analytical, organizational, strategic, and meticulous approach • Demonstrated integrity, responsibility, accountability, and good judgment • Ability to establish effective relationships and adapt priorities and deadlines