Manager, Fund Compliance

Job description

SUMMARY: 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 ch...