Associate Fund Compliance Administrator

Ultimus•Hauppauge, NY

About The Position

The Associate Fund Compliance Administrator is responsible for a portion of the daily, monthly, and quarterly workflow as it pertains to compliance for the clients of Ultimus Fund Solutions (UFS.) These activities include monitoring funds to ensure compliance with various rules and regulations.

Requirements

Bachelor’s degree in business administration, accounting, finance, or related field.
Experience working within the financial services and/or the mutual funds industry.
Automated post-trade compliance system.
Microsoft Office Suite.
Adobe Acrobat.
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.

Responsibilities

Assists with monitoring fund compliance on a daily and weekly basis with consideration to investment restrictions detailed in Prospectus, Statement of Additional Information, and Investment Company Act of 1940.
Assists with monitoring fund compliance with consideration to the quarterly and annual requirements of Internal Revenue Code for qualifications as regulated Investment Company.
Assists with reviews of investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for existing clients.
Populates data into compliance system, as needed.
Works with team leads to respond to client requests and inquiries with respect to compliance matters.
Provides finalized compliance reporting to external audit firms when requested.
Assists in gathering information for requests from regulatory agencies, as needed.
Assists with completion of regulatory compliance reporting to regulatory agencies, Board of Directors, and Fund Officers.
Contact as needed with fund advisors regarding general information, resolution of compliance issues, inquiries or reporting requirements.
Contact with fund accounting, financial administration, tax, and legal departments as needed with regards to financial compliance matters.
May perform other duties as required and assigned.