SVP, Associate General Counsel

This is a fully remote position, open to applicants in United States.

📋 Description

• Build robust working relationships with department heads at Ultimus and provide Legal Administration services to designated clients.

• Offer strategic direction within the Legal Administration Department.

• Address routine and intricate client service issues and potential liability matters, escalating as necessary and collaborating with senior management.

• Assist with sales, due diligence, onboarding, and presentations for prospective clients.

• Conduct research and create memoranda and reports on general industry topics.

• Oversee or draft updates for client registration statements and other SEC filings.

• Lead the preparation and distribution of materials for client boards and committees.

• Participate in board and committee meetings, taking notes, delivering presentations, and leading discussions when requested.

• Supervise or record minutes for client board and committee meetings.

• Guide direct reports on updates to registration statements, board materials, and client documentation.

• Provide clients with updates on regulatory matters and perform non-legal-conclusion regulatory research.

• Support Corporate Legal with amendments to contracts.

• Complete internal compliance-related documentation for assigned clients.

• Oversee or prepare filings and documents for special regulatory add-on services, including new funds/trusts, proxy statements, information statements, and Form N-14.

• Participate in departmental, interdepartmental, and ICI committees.

• Coordinate department initiatives, including updates to policies and procedures.

• Offer legal assistance to Corporate Legal and Internal Compliance Departments.

• Manage associates through hiring, training, development, delegation, evaluations, salary recommendations, coaching, counseling, and corrective actions.

• Conduct regular one-on-one and team meetings.

• Set team and individual objectives and ensure associates are accountable.

• Mentor associates while maintaining relationships with internal departments, external vendors, and clients.

• Ensure robust client relationships and high levels of client satisfaction.

⛳️ Requirements

• Over 15 years of experience as a 1940 Act attorney.

• Legal expertise at a fund administrator or fund adviser.

• Juris Doctor (J.D.) and membership in the bar of at least one state.

• 7–10 years of management and leadership experience.

• Familiarity with the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934.

• Understanding of legal, business, distribution, marketing, and structural challenges facing mutual funds.

• Proficient in Microsoft Office Suite and Adobe Acrobat.

• Highly skilled in written communication, including the ability to articulate complex legal concepts in simple terms.

• Excellent research abilities and client service skills.

• Capable of leading board meetings and presenting legal administration services.

• Proficient in planning, delegating, motivating, assessing performance, developing procedures, troubleshooting, multitasking, and decision-making.

• Strong analytical, organizational, strategic, and detail-oriented approach.

• Proven integrity, responsibility, accountability, and sound judgment.

• Ability to cultivate effective relationships and adapt priorities and deadlines.

🏝️ Benefits

• Competitive salary and performance-based incentives.

• Comprehensive health, dental, and vision insurance.

• Retirement savings plan with employer match.

• Opportunities for professional development and career advancement.

• Flexible work arrangements and a supportive work environment.