Associate Fund Compliance Administrator

Job description

SUMMARY: The Associate Fund Compliance Administrator is responsible for a portion of the daily, monthly, and quarterly workflow as it pertains to compliance for the clients of Ultimus Fund Solutions (UFS.) These activities include monitoring funds to ensure compliance with various rules and regulations. KEY ACCOUNTABILITIES: FINANCIAL COMPLIANCE: - 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. FUND AUDITS: - Provides finalized compliance reporting to external audit firms when requested. - Assists in gathering infor...