AVP, Legal Counsel

SUMMARY The AVP, Legal Counsel is responsible for providing high-level legal services to meet the needs of multiple clients. KEY ACCOUNTABILITIES Specific Client Tasks and Relationships Supervises or prepares client registration statement updates accurately and timely. Supervises or prepares other client SEC filings accurately and timely. Leads or prepares/distributes client board and committee materials accurately and timely. Attends meetings to record notes and make presentations, either remotely or in person. Drafts minutes of client meetings with senior review. Provides regulatory updates and conducts limited research on the Investment Company Act of 1940. Drafts contract amendments for services to assigned clients with senior review. Ensures completion of internal compliance documents for clients. Maintains strong relationships with clients, ensuring high satisfaction levels. Special Projects Supervises or prepares filings for regulatory add-on services under guidance from senior attorneys. Working Relationships Mentors associates through instruction and coaching. Participates in departmental and interdepartmental committees. Maintains contact with internal departments and external vendors. Engages with clients and team members regularly. Performs other duties as assigned. Education and Experience J.D. and bar membership (or anticipated) in at least one state. 3-5 years as a 1940 Act attorney. Management and leadership experience. Knowledge Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934. Relevant securities laws, Microsoft Office, Adobe Acrobat. Skills and Abilities Excellent oral and written communication skills. Client service orientation and legal analysis skills. Leadership, motivation, and performance assessment abilities. Process improvement, troubleshooting, multitasking, and organizational skills. Integrity, responsibility, strategic thinking, and resourcefulness. Effective problem-solving, decision-making, and relationship-building skills. Equivalent education, experience, and KSA’s will be considered. Ultimus is an equal opportunity employer and does not discriminate based on protected statuses.

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