VP, Senior Legal Counsel

Ultimus Fund SolutionsSUMMARY DESCRIPTIONA Senior Legal Counsel provides a high level of legal administration services to address the needs of multiple clients.This position will require a broad and in-depth knowledge of the Investment Company Act as well as familiarity with other relevant securities laws and will engage in regular direct interaction with clients and team members.ESSENTIAL DUTIES AND RESPONSIBILTIES SPECIFIC CLIENT TASKS AND RELATIONSHIPSüSupervise the preparation of (and, if appropriate, prepare) client registration statement updates in an accurate and timely manner; üSupervise the preparation of (and, if appropriate, prepare) all other client SEC filings in an accurate and timely manner;üLead the preparation/distribution of (and, if appropriate, prepare/distribute) all client board amd committee materials in an accurate and timely manner;üAttend board and committee meetings by telephone or, if client requests, in person, in order to record notes and make presentations;üSupervise the drafting of (or, as appropriate, draft) the minutes of client board and committee meetings;üProvide updates to clients on recent regulatory events and conduct regulatory research for clients that does not involve legal conclusions;üDraft Ultimus contract amendments (and, if needed, contracts) for services provided to assigned clients;üEnsure the completion of (or, if appropriate, complete) all internal compliance related documents for assigned clients, such as filing checklists;üEnsure that the Legal Administration relationship with each assigned client is strong and that the client’s satisfaction level with the relationship remains high; andüMaintain regular contact with internal departments and external vendors/relationships with respect to meeting assigned clients’ needs.SPECIAL PROJECTSüSupervise the preparation of and, if appropriate, prepare relevant filings and documents for, special regulatory add-on services such as building of new funds/trusts, proxy and information statements and Form N-14; üServe on departmental, interdepartmental and ICI committees, as requested; andüParticipate in sales presentations with prospective clients and in the onboarding of new clients.KNOWLEDGE AND SKILLS üExtensive knowledge of the Investment Company Act of 1940 as well as a working knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934;üHigh proficiency in written communication skills, including the ability to set forth complex legal principles in “plain English”;üSignificant proficiency in oral communication skills, whether the audience is comprised of clients, Ultimus senior management or Ultimus peers and subordinates;üExcellent client service skills with an aptitude for understanding the clients’ legal needs and how they are related to the clients’ business needs; üAbility to organize and prioritize work as well as assisting in the coordination of the work of other team members;üAbility to multi-task while maintaining careful attention to detail; andüAbility to work with a sense of urgency to meet deadlines and address competing priorities.QUALIFICATIONSüMinimum 7 – 10 years’ experience as an Investment Company Act attorney is required;üLegal experience at a fund administrator or fund adviser is preferred; üA J.D.

and membership in the bar of at least one state are required;üStrong writing skills, research skills and attention to detail are required;üExcellent oral communication skills, including the ability to lead board and other meetings with current clients and to present legal administration services to potential clients; andüAbility to work in a fast-paced environment and handle/manage multiple client and team priorities and deadlines.

PHYSICAL AND OTHER REQUIREMENTSüAt times, as business needs arise, employees are required and agree to work beyond their normal work day or work week to fulfill the accountabilities required for their job.üThe physical requirements described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.

oWhile performing the duties of this job, the employee is regularly required to sit and stand; oThe employee must occasionally lift and/or move up to 10lbs; andoSpecific vision abilities are required within this position.

üOccasional travel (approximately 10% or less) may be required in this position.üReasonable accommodations may be made to enable employees to perform the essential functions.