🚀 AVP, Legal Counsel

SUMMARY

The AVP, Legal Counsel is responsible for providing high-level legal services to meet the needs of multiple clients.

KEY ACCOUNTABILITIES

Specific Client Tasks and Relationships

• Supervises or prepares client registration statement updates accurately and timely.
• Supervises or prepares other client SEC filings accurately and timely.
• Leads or prepares/distributes client board and committee materials accurately and timely.
• Attends meetings to record notes and make presentations, either remotely or in person.
• Drafts minutes of client meetings with senior review.
• Provides regulatory updates and conducts limited research on the Investment Company Act of 1940.
• Drafts contract amendments for services to assigned clients with senior review.
• Ensures completion of internal compliance documents for clients.
• Maintains strong relationships with clients, ensuring high satisfaction levels.

Special Projects

• Supervises or prepares filings for regulatory add-on services under guidance from senior attorneys.

Working Relationships

• Mentors associates through instruction and coaching.
• Participates in departmental and interdepartmental committees.
• Maintains contact with internal departments and external vendors.
• Engages with clients and team members regularly.

Performs other duties as assigned.

Education and Experience

• J.D. and bar membership (or anticipated) in at least one state.
• 3-5 years as a 1940 Act attorney.
• Management and leadership experience.

Knowledge

• Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934.
• Relevant securities laws, Microsoft Office, Adobe Acrobat.

Skills and Abilities

• Excellent oral and written communication skills.
• Client service orientation and legal analysis skills.
• Leadership, motivation, and performance assessment abilities.
• Process improvement, troubleshooting, multitasking, and organizational skills.
• Integrity, responsibility, strategic thinking, and resourcefulness.
• Effective problem-solving, decision-making, and relationship-building skills.

Equivalent education, experience, and KSA’s will be considered.

Ultimus is an equal opportunity employer and does not discriminate based on protected statuses.