VP, Legal Counsel

🔥 2 minutes ago

⛰️ Colorado, Nebraska, +2 more states – Remote

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

⏰ Full Time

🔴 Lead

⚖️ Legal Counsel / General Counsel

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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

• Supervises the preparation of client registration statement updates. • Supervises the preparation of other client SEC filings. • Leads the preparation/distribution of client board and committee materials. • Attends board and committee meetings to record notes and make presentations. • Drafts the minutes of meetings with review by a senior attorney. • Provides updates to clients on recent regulatory events and conducts regulatory research. • Drafts contract amendments for services provided to assigned clients. • Completes all internal compliance related documents in a timely manner. • Guarantees client satisfaction with the Legal Administration relationship. • Supervises preparation of filings for special regulatory services with guidance from senior attorneys. • Mentors associates and maintains regular contact with internal departments and clients.

🎯 Requirements

• A J.D. and membership (or anticipated membership) in the bar of at least one state. • 5 years of experience as a 1940 Act attorney. • Management and leadership experience. • Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. • Relevant securities laws. • Microsoft Office Suite. • Adobe Acrobat.

🏖️ Benefits

• Equivalent education, experience, and KSA’s will be considered.