Vp Compliance Officer

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VP Compliance Officer

The candidate will be maintaining compliance policies and procedures for assigned trusts or advisers, performing annual reviews thereon, conducting risk assessments and periodic compliance testing, maintaining oversight of other services providers (distributors, transfer agents, administrators, custodians, etc.), and meeting with the Board of Trustees/Directors for assigned trusts, which include series trusts. Managing regulatory exams and interacting with the Securities and Exchange Commission staff as necessary. Should have 5 years of compliance experience, preferably as a named CCO to either a registered investment company or an RIA. A bachelor's degree is required. Preferred qualifications include an advanced degree (JD, MBA) or professional certification (e.g., CPA). Experience with derivatives and alternative investments would be a plus.

Additional Information

Req #677.

Company info

Ultimus Fund Solutions, LLC
80 Arkay Dr
Hauppauge
New York
United States 11788
Website : http://www.ultimusfundsolutions.com/