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Ultimus Fund Solutions · 2 months ago

EDGAR Filing Agent

225 Pictoria Dr, Cincinnati, OH 45246, USA

Full-time

Onsite

Senior Level

5+ years exp

Ultimus Fund Solutions is seeking an EDGAR Filing Agent responsible for converting and filing documents with the Securities and Exchange Commission (SEC) on EDGAR systems. The role involves ensuring timely and compliant submissions while providing administrative support and training to junior associates.

ConsultingFinanceFinancial ServicesInformation Technology

Responsibilities

Converts and submits level 1-2 EDGAR filings with no guidance from management

Converts and submits level 3 EDGAR filings with guidance from management

Provides high-quality and prompt turn-around of converted EDGAR documents allowing for timely client review before filing

Converts documents to an EDGAR acceptable format and submits them to SEC, on behalf of client, on schedule and in compliance with regulations

Facilitates advance payment of filing fees with client in accordance with SEC provisions

Confirms and forwards SEC acceptance notices to client

Provides an EWFS to the billing dept. after every EDGAR job has been completed daily

Provides a daily log of all pending and filed jobs for that reporting cycle

Maintains iXBRL trackers to ensure clients follow the iXBRL rule

Assists manager with projects and staying up to date with SEC requirements and new regulations

Helps maintain summary prospectus websites so clients follow regulations

Performs clerical and administrative support tasks for associates

Assists with training junior associates on conversion techniques, policies, and procedures

Provides guidance and oversight to the team when needed

Daily contact with clients regarding EDGAR filing services, clarification of requests, review printing needs, etc

Direct point of contact when management is unavailable

Qualification

SEC EDGAR filingsNovaworks GoFilerMicrosoft Office SuiteAdobe AcrobatAnalytical skillsOrganizational skillsCreative thinkingCommunication skills

Required

An undergraduate degree or equivalent

5-7 years of experience working with SEC EDGAR filings

Experience with a typesetter

Novaworks GoFiler or similar software

Well-versed in all Risk Return submission types

Microsoft Office Suite

Adobe Acrobat

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