Ultimus Fund Solutions · 3 months ago
VP, Senior Legal Counsel
4221 N 203rd St, Elkhorn, NE 68022, USA
Full-time
Onsite
Mid, Senior Level
7+ years expUltimus Fund Solutions is a company that provides legal administration services to multiple clients. The VP, Senior Legal Counsel is responsible for overseeing legal documentation and compliance, ensuring strong client relationships, and mentoring associates within the legal department.
ConsultingFinanceFinancial ServicesInformation Technology
Responsibilities
Supervises the preparation of (and, if appropriate, prepares) client registration statement updates in an accurate and timely manner
Supervises the preparation of (and, if appropriate, prepares) all other client SEC filings in an accurate and timely manner
Leads the preparation and distribution of (and, if appropriate, prepares and distributes) all client board and committee materials in an accurate and timely manner
Attends board and committee meetings by telephone or, if the client requests, in person, to record notes and make presentations
Supervises the drafting of (or, as appropriate, drafts) the minutes of client board and committee meetings
Provides updates to clients on recent regulatory events and conducts regulatory research for clients that does not involve legal conclusions
Drafts contract amendments (and, if needed, contracts amendments) for services provided to assigned clients
Ensures the completion of (or, if appropriate, completes) all internal compliance related documents for assigned clients, such as filing checklists
Guarantees that the Legal Administration relationship with each assigned client is strong and that the client’s satisfaction level with the relationship remains high
Supervises the preparation of (and, if appropriate, prepares) relevant filings and documents for special regulatory add-on services such as building of new funds or trusts, proxy and information statements, and Form N-14
Participates in sales presentations with prospective clients and in the onboarding of new clients
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used
Serves on departmental, interdepartmental, and ICI committees, as requested
Regular contact with internal departments and external vendors or relationships with respect to meeting assigned clients’ needs
Qualification
Required
A J.D. and membership in the bar of at least one state
7-10 years of experience as an Investment Company Act attorney
Legal experience working at a fund administrator or fund adviser
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
Aligns associates with company values and goals
Plans and delegates the work of others
Motivates and inspires others
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
Preferred
Equivalent education, experience, and KSA's will be considered
Company
Ultimus Fund Solutions
Ultimus Fund Solutions, LLC provides highly customized and comprehensive mutual fund services to small and medium size mutual fund groups.
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2018-11-19Acquired
2012-06-18Private Equity
Leadership Team
Gary Tenkman
CEO
Jason Stevens
Chief Technology Officer
Recent News
2026-01-20
EIN Presswire
2025-12-15
2025-12-10
Company data provided by crunchbase