VP, Legal Counsel

Ultimus•Greenwood Village, CO

About The Position

The VP, Legal Counsel is responsible for providing a prominent level of legal administration services to address the needs of multiple clients. This role involves supervising the preparation of client registration statement updates and other SEC filings, leading the preparation and distribution of client board and committee materials, and attending board and committee meetings to record notes and make presentations. The position also includes drafting minutes of client board and committee meetings, providing clients with updates on recent regulatory events, conducting limited regulatory research, and drafting contract amendments. Ensuring the completion of internal compliance documents and maintaining strong client relationships are key aspects of this role. Additionally, the VP, Legal Counsel will supervise the preparation of filings and documents for special regulatory add-on services and mentor associates.

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.
Oral communication skills, whether the audience is comprised of clients, Ultimus senior management, or Ultimus peers and subordinates.
Client service skills with an aptitude for understanding the clients’ basic legal needs and how they are related to the clients’ business needs.
Proficiency in written communication skills, including the ability to set forth legal principles in “plain English.”
Legal research skills and an aptitude for legal analysis.
Assesses the 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.

Nice To Haves

Aligns associates with company values and goals.
Plans and delegates the work of others.
Motivates and inspires others.

Responsibilities

Supervises the preparation of (or, if appropriate, prepares) client registration statement updates.
Supervises the preparation of (and, if appropriate, prepares) other client SEC filings.
Leads the preparation/distribution of (or, if appropriate, prepares/distributes) all client board and committee materials.
Attends board and committee meetings by telephone or, if the client requests, in person, to record notes and make presentations.
With review by a more senior attorney, drafts the minutes of client board and committee meetings.
Provides updates to clients on recent regulatory events and conduct limited regulatory research for clients on the Investment Company Act of 1940 that does not involve legal conclusions.
With review by a more senior attorney, drafts Ultimus contract amendments (and, if needed, contracts) for services provided to assigned clients.
Ensures the completion of (or, if appropriate, complete) all internal compliance related documents for assigned clients, such as filing checklists in an accurate and timely manner.
Guarantees that the Legal Administration relationship with each assigned client is strong and that the client’s satisfaction level with the relationship remains high.
With guidance from a more senior attorney, supervises the preparation of or, if appropriate, prepares relevant filings and documents for special regulatory add-on services such as building of new funds/trusts, proxy and information statements and Form N-14.
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
Serves on departmental and interdepartmental committees, as requested.
Maintains regular contact with internal departments and external vendors/relationships with respect to meeting assigned clients’ needs.
Engages in regular direct interaction with clients and team members.
May perform other duties as required and assigned.