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 promptly. Prepares or supervises the preparation of client SEC filings accurately and timely. Leads or prepares distribution of client board and committee materials. Attends meetings to record notes and make presentations, either in person or via telephone. 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 and agreements with senior review as needed. Ensures completion of compliance documents like filing checklists. Maintains strong relationships with clients and ensures high satisfaction levels. SPECIAL PROJECTS Supervises or prepares filings for services like new funds/trusts, proxy statements, and Form N-14, under senior guidance. WORKING RELATIONSHIPS Mentors associates through coaching and modeling best practices. Participates in departmental and interdepartmental committees. Maintains regular contact with internal teams and external vendors to meet client needs. Engages directly with clients and team members. Performs other duties as assigned. EDUCATION AND EXPERIENCE J.D. degree and bar membership (or anticipated). 3-5 years of experience as a 1940 Act attorney. Management and leadership experience. KNOWLEDGE Knowledge of the Investment Company Act of 1940, the Advisers Act, Securities Acts of 1933 and 1934. Proficiency in Microsoft Office, Adobe Acrobat. SKILLS AND ABILITIES Excellent oral and written communication skills. Strong client service orientation and understanding of legal and business needs. Legal research and analytical skills. Leadership, motivation, and delegation skills. Organizational, multitasking, and problem-solving abilities. Personal integrity, responsibility, and accountability. Ability to build effective relationships and adapt to changing priorities. Equivalent education, experience, and KSA’s will be considered. Ultimus is an equal opportunity employer and does not discriminate based on protected characteristics.

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