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Manager, Fund Compliance
2 months ago
The Manager, Fund Compliance is responsible for controlling portions of the daily, monthly and quarterly workflow including implementing new policies and procedures, monitoring and testing existing and new policies and procedures and maintenance of regulatory records as it pertains to compliance for the clients of Ultimus Fund Solutions (UFS.) This position performs duties including the development and performance of team members and the process used by them.
KEY ACCOUNTABILITIES
FINANCIAL COMPLIANCE
- Monitors fund compliance on a daily and monthly basis with consideration of investment detailed Prospectus, Statement of Additional Information and Investment Company Act of 1940
- Monitors fund compliance with consideration to the quarterly and annual requirements of Internal Revenue Code for qualifications as a regulated investment company
- Reviews and oversees team members with respect to certain aspects of their work and development.
- Performs review of a subset of quarterly compliance reporting prepared by compliance team members.
- Reviews investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for new fund launches and existing clients.
- Codes newly launched funds into the compliance system and to perform ongoing testing of existing client funds functionality on compliance system.
- Provides advice and training on rules and regulations as it pertains to portfolio compliance under SEC, IRS and internal regulations to clients and applicable personnel.
- Coordinates efforts for development of regulatory compliance for reporting to clients, regulatory agencies, Board of Directors and Fund Officers.
- Maintains audit controls and updates and implements controls, as necessary.
- Acts as a liaison between UFS and external audit firms and regulatory agencies.
- Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
- Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.
- Establishes team and individual goals for department.
- Fosters performance of associates and the processes used by them; holds the associates accountable for their work.
- Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
- Contact with fund accounting, financial administration, relationship management and legal departments regarding financial compliance activities.
- Contact as needed with regulatory agencies and audit firms regarding general information, resolution of issues and inquiries or reporting requirements.
EDUCATION AND EXPERIENCE
- Bachelor's degree in business administration, finance, or related field.
- 3-5 years of regulatory compliance experience.
- Experience working within the financial services industry.
- 1-2 years of management and leadership experience.
- Automated post-trade compliance system coding.
- Microsoft Office Suite.
- Adobe Acrobat.
- 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.
