SUMMARY The AVP, Legal Counsel is responsible for providing a prominent level of legal administration services to address the needs of multiple clients. KEY ACCOUNTABILITIES SPECIFIC CLIENT TASKS AND RELATIONSHIPS
- Supervises the preparation of (or, if appropriate, prepares) client registration statement updates in an accurate and timely manner.
- Supervises the preparation of (and, if appropriate, prepares) other client SEC filings in an accurate and timely manner.
- Leads the preparation/distribution of (or, if appropriate, prepares/distributes) all client board and committee materials in an accurate and timely manner.
- Attends board and committee meetings by telephone or, if a client requests, in person, to record notes and make presentations.
- With review by a more senior attorney, drafts the minutes of client board and committee meetings.
- Provides updates to clients on recent regulatory events and conducts limited regulatory research for clients on the Investment Company Act of 1940 that does not involve legal conclusions.
- With review by a more senior attorney, drafts Ultimus contract amendments (and, if needed, contracts) for services provided to assigned clients.
- Ensures the completion of (or, if appropriate, completes) all internal compliance related documents for assigned clients, such as filing checklists.
- Ensures that the Legal Administration relationship with each assigned client is strong and that the client's satisfaction level with the relationship remains high.
SPECIAL PROJECTS
- With guidance from a more senior attorney, supervises the preparation of or, if appropriate, prepares 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.
- Serves on departmental and interdepartmental committees, as requested.
WORKING RELATIONSHIPS
- Maintains regular contact with internal departments and external vendors/relationships with respect to meeting assigned clients' needs.
- Engages in regular direct interaction with clients and team members.
May perform other duties as required and assigned. EDUCATION AND EXPERIENCE
- A J.D. and membership (or anticipated membership) in the bar of at least one state.
- 3-5 years of experience as a 1940 Act attorney.
- 3-5 years of management and leadership experience.
KNOWLEDGE
- Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
- Relevant securities laws.
- Microsoft Office Suite.
- Adobe Acrobat.
SKILLS AND ABILITIES
- Oral communication skills, whether the audience is comprised of clients, Ultimus senior management, or Ultimus peers and subordinates.
- Client service skills with an aptitude for understanding the clients' basic legal needs and how they are related to the clients' business needs.
- Proficiency in written communication skills, including the ability to set forth legal principles in plain English.
- Legal research skills and an aptitude for legal analysis.
- Aligns associates with company values and goals.
- Plans and delegates the work of others.
- Motivates and inspires others.
- Assesses performance of self and associates to make improvements or take corrective action.
- Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
- Troubleshoots issues utilizing creative and critical thinking skills.
- Multitasking, analytical, and organizational skills.
- Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
- Demonstrates personal integrity, responsibility, and accountability.
- Effectively uses resources such as time and information in conjunction with associates.
- Participates in solving problems and making decisions.
- Presents and expresses ideas and information, written and oral, clearly, and concisely.
- Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
- Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
- Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
- Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
Equivalent education, experience, and KSA's will be considered. Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.