AVP, Legal Counsel

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 the 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.

WORKING RELATIONSHIPS

• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• Serves on departmental and interdepartmental committees, as requested.
• 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.
• 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 the 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.