Ultimus Fund Solutions · 1 week ago
Associate Fund Compliance Administrator
80 Arkay Dr, Hauppauge, NY 11788, USA
Full-time
Onsite
New Grad, Entry LevelUltimus Fund Solutions is seeking an Associate Fund Compliance Administrator who will be responsible for monitoring compliance for clients. This role involves ensuring adherence to various rules and regulations, as well as assisting in regulatory reporting and audits.
ConsultingFinanceFinancial ServicesInformation Technology
Responsibilities
Assists with monitoring fund compliance on a daily and weekly basis with consideration to investment restrictions detailed in Prospectus, Statement of Additional Information, and Investment Company Act of 1940
Assists with monitoring fund compliance with consideration to the quarterly and annual requirements of Internal Revenue Code for qualifications as regulated Investment Company
Assists with reviews of investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for existing clients
Populates data into compliance system, as needed
Works with team leads to respond to client requests and inquiries with respect to compliance matters
Provides finalized compliance reporting to external audit firms when requested
Assists in gathering information for requests from regulatory agencies, as needed
Assists with completion of regulatory compliance reporting to regulatory agencies, Board of Directors, and Fund Officers
Contact as needed with fund advisors regarding general information, resolution of compliance issues, inquiries or reporting requirements
Contact with fund accounting, financial administration, tax, and legal departments as needed with regards to financial compliance matters
Qualification
Required
Bachelor's degree in business administration, accounting, finance, or related field
Experience working within the financial services and/or the mutual funds industry
Automated post-trade compliance system
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
Company
Ultimus Fund Solutions
Ultimus Fund Solutions, LLC provides highly customized and comprehensive mutual fund services to small and medium size mutual fund groups.
Founded in 1999
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
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