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Vp Compliance Officer
Company name
Ultimus Fund Solutions, LLC
Experience
5 yrs required
Location
Columbus, OH, United States
Employment Type
Full-Time
Industry
Legal
Posted on
Dec 02, 2022
Profile
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
ID: 677.
Company info
Ultimus Fund Solutions, LLC
2 Easton Oval,
Columbus
Ohio
United States 43219
Website : http://www.ultimusfundsolutions.com/
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