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Ultimus Fund Solutions
Ultimus Fund Solutions
501 – 1,000 Employees
B2BFinanceSaaS
Ultimus Fund Solutions provides fund administration and investment operations services to financial advisors and asset and fund managers across public and private markets. Its work spans transfer agency, middle-office operations, ETF launches and conversions, and administration for mutual funds, private equity, private credit, retail alternatives, REITs and other fund structures. The company pairs these services with technology for portfolio analytics, investor and advisor access, workflow management, reporting and automation. Ultimus’s teams support clients managing a range of investment products and fund operations.
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Associate Legal Counsel, Investment Funds (Remote – US)

Support investment fund clients with SEC filings, board materials, regulatory research, and compliance records. Mentor associates and help maintain client relationships.

USUnited StatesRemoteFull-timeSeniorLeadEnglish RequiredGeneral Counsel

Description

  • Provide legal administration support for multiple clients’ routine legal needs.
  • Prepare updates to client registration statements and other SEC filings.
  • Prepare and distribute materials for client board and committee meetings.
  • Attend board and committee meetings by phone or, when requested, in person, and take notes.
  • Draft minutes for client board and committee meetings.
  • Share regulatory updates with clients and research the Investment Company Act of 1940 without offering legal conclusions.
  • Draft amendments to Ultimus service agreements for assigned clients.
  • Complete internal compliance records, including filing checklists, accurately and on time.
  • Build strong relationships within Legal Administration and support high client satisfaction.
  • Prepare filings and documents for additional regulatory services, including new funds or trusts, proxy and information statements, and Form N-14.
  • Mentor associates through instruction, coaching, on-the-job guidance, effective role modeling, and advice on work methods.
  • Participate in departmental committees when requested.
  • Coordinate with internal teams and external vendors and contacts to address client needs.
  • Work directly with team members and, occasionally, with clients.
  • Carry out other assigned duties as needed.

Requirements

  • Hold a J.D. and be admitted, or expect admission, to at least one state bar.
  • Have 0–3 years of experience practicing as an attorney under the Investment Company Act of 1940.
  • Know the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related securities laws.
  • Use Microsoft Office Suite proficiently.
  • Use Adobe Acrobat proficiently.
  • Demonstrate client service skills and an ability to understand clients’ routine legal and business needs.
  • Write effectively, including explaining legal concepts in plain English.
  • Apply legal research and analysis skills.
  • Manage multiple tasks with analytical and organizational skill.
  • Show initiative, strategic judgment, and attention to detail, with a focus on quality, efficiency, and effectiveness.
  • Demonstrate integrity, responsibility, and accountability.
  • Use time and information effectively.
  • Solve problems and make decisions.
  • Communicate clearly and concisely in writing and verbally.
  • Listen actively and exchange ideas openly.
  • Identify and secure resources needed to achieve goals.
  • Build and maintain effective working relationships.
  • Adjust priorities and deadlines as conditions and obstacles change.

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