for Ultimus Fund Solutions’ mutual fund clients. This includes... preparing board materials and regulatory filings, managing regulatory calendars, providing general legal, filing and governance support, and overseeing other client-related matters. The ideal candidate will have 1-3 years of paralegal or...
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Officer III- Business Line The candidate will be responsible for providing effective supervision to the firm broker-dealer and registered investment adviser. Will executes all duties and responsibilities outlined in the firm Supervisory Procedures Manual. Provide coverage to a dedicated firm...
the legal operations for mutual fund clients. Resolves client... legal and regulatory issues with government entities. Organizes the corporate governance processes related to board and committee meetings. Prepares agenda, exhibits, minutes, reports, and resolutions for board and committee meetings. Reviews...
regulatory filings, review work product or more junior attorneys, paralegal and administrative staff, supervise special client projects and assist with handling client-related matters. Will manages the legal operations for mutual fund clients. Resolves client... legal and regulatory issues with governm...
Analyst II The candidate will be responsible for ensuring fund management activities comply with all legal and regulatory requirements, operating policies, internal limitations, and fund/client investment limitations for more complex clients. Reviews and validates SEC compliance calendar for all NLCS...
Compliance Officer The candidate will be responsible for ensuring that the services with legal and regulatory requirements, operating policies of the firm and industry best practices. Reviews and drafts firm operating policies, procedures and guidelines. Ensures employee adherence to operating...
wide variety of debt financing transactions, representation of issuers in private and public securities offerings, and representation of public companies in SEC compliance matters. Experience with public finance, private equity funds, hedge funds and other... related specialties will be conside...
group of a growing mutual fund and exchange-traded fund... closed-end and open-end, multi-class mutual fund registration statements to... ensure disclosure requirements are met; preparing annual updates to registration statements; ensuring timely and accurate regulatory filings, including registration statement amendments, exchange...
Business Supervisor The candidate will be responsible for providing effective supervision to the BWIS broker-dealer and registered investment adviser. In partnership with BWIS' Regional Sales Managers, execute all duties and responsibilities outlined in the BWIS Supervisory Procedures Manual. Oversee approval...
administration for approximately 10-15 mutual fund clients. Draft agendas... and resolutions for board meetings and prepare board meeting materials. Attend board meetings and draft minutes. Update registration statements and prepare filings with the SEC. Review annual and semi-annual reports. Assist...
group of a growing mutual fund and exchange-traded fund... closed-end and open-end, multi-class mutual fund registration statements to... ensure disclosure requirements are met; preparing annual updates to registration statements; ensuring timely and accurate regulatory filings, including registration statement amendments, exchange...