AVP, Fund Compliance - Mutual Funds
$75,000–$100,000 year
On-siteColumbus, Ohio, United States or Cincinnati, Ohio, United States
Job Summary
Coordinate daily, monthly, and quarterly compliance workflows, including implementation, monitoring, and testing of policies and procedures for Ultimus Fund Solutions clients. Monitor fund compliance against the Investment Company Act of 1940, IRS regulations, and SEC rules; review quarterly reporting and code newly launched funds into the compliance system. Maintain up-to-date compliance checklists for new fund launches and existing clients while ensuring testing programs keep pace with market and regulatory evolution. Provide advice and training on portfolio compliance rules to clients and personnel. Assist in developing departmental procedures, manage associates through hiring, training, and performance appraisals, and act as a liaison between UFS, external audit firms, and regulatory agencies.
Required Qualifications
- Bachelor's degree in business administration, finance, or related field
- 7+ years of regulatory compliance experience
- Experience working within the financial services and mutual funds industry
- Experience working with SEC regulators
- 3-5 years of management and leadership experience
- Automated post-trade compliance system coding
- Investment Company Act of 1940
- SEC and IRS regulations
- Microsoft Office Suite
- Adobe Acrobat
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