SUMMARY
The VP, Senior Compliance Officer serves as a Chief Compliance Officer (CCO) to trusts of mutual funds and closed-end fund clients of Ultimus Fund Solutions (UFS) in support of the funds' Rule 38a-1 compliance program obligations.
This includes maintaining the Rule 38a-1compliance policies and procedures for assigned trusts to satisfy all legal and regulatory requirements, performing annual reviews thereon and meeting with the Board of Trustees and Directors for assigned trusts, which include series trusts.
Additionally, the VP, Senior Compliance Officer and Senior Compliance Officer typically will be assigned to serve as CCO to larger trusts or those with more complicated strategies than a Compliance Officer.
KEY ACCOUNTABILITIES
Conducts the trust's annual compliance program review, reports the findings, proposes procedural changes to management, and ensures any changes are implemented in a timely fashion.
Identifies and corrects deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance.
Works with portfolio managers, advisors, marketing, and operations to help resolve compliance issues or provides recommendations on compliance matters.
Performs compliance monitoring test work over the funds' investment adviser(s) in an oversight capacity for assigned trusts including on-site due diligence visits.
Areas of focus include portfolio compliance, best execution, proxy voting, liquidity, and soft dollars.
Performs compliance monitoring test work on behalf of the trust.
This includes, but is not limited to, market timing, code of ethics, compliance with trust procedures and annual testing and reporting.
Performs periodic testing pertaining to the compliance programs and related policies and procedures of service providers including UFS entities.
Participates in risk management activities including monitoring of the effectiveness of internal departmental controls and procedures and reviewing results of regulatory examinations and internal or external audits or testing.
Coordinates responses to SEC and other regulatory examinations and inquiries related to UFS, its fund clients, and their advisers.
Assists in the monitoring, review, communication, and implementation of changes to the federal securities laws, especially those that could require revisions to the fund or service provider policies and procedures.
May provide compliance consulting and other services for investment advisers and other entities.
WORKING RELATIONSHIPS Significant contact with clients, fund counsel, as well as various internal UFS departments.
The Senior Compliance Officer also
May perform other duties as required and assigned.
EDUCATION AND EXPERIENCE Bachelor's degree or equivalent.
10 years of experience in the mutual fund or investment advisory industry.
5 years of relevant industry experience in mutual fund or investment advisor compliance.
CPA, CFA, law license, FINRA registration, and/or compliance certification.
KNOWLEDGE Strong knowledge and understanding of Investment Company Act of 1940.
Working knowledge of Investment Advisers Act of 1940.
Microsoft Office Suite.
Adobe Acrobat.
SKILLS AND ABILITIES Aligns associates with company values and goals.
Plans and delegates the work of others.
Motivates and inspires others.
Assesses performance of self and associates to make improvements or take corrective action.
Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
Troubleshoots issues utilizing creative and critical thinking skills.
Multitasking, analytical, and organizational skills.
Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
Demonstrates personal integrity, responsibility, and accountability.
Effectively uses resources such as time and information in conjunction with associates.
Participates in solving problems and making decisions.
Presents and expresses ideas and information, written and oral, clearly, and concisely.
Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
Equivalent education, experience, and KSA's will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws.
No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
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