Senior Compliance Officer/Columbus Ohio

Ultimus Fund Solutions, LLC Columbus , OH 43219

Posted 5 days ago


Come join an amazing team working for a company on the rise. Serve as Chief Compliance Officer to our third party mutual fund clients. This includes maintaining the Rule 38a-1 compliance policies and procedures for assigned trusts, performing annual reviews thereon, and meeting with the Board of Trustees/Directors for assigned trusts. The Senior Compliance Officer has significant contact with clients, fund counsel, as well as various internal departments. The Senior Compliance Officer can work out of either our Cincinnati home office or our Columbus location.

  • Conduct the trusts annual compliance program review, reporting the findings and proposing procedural changes to management, and ensuring any changes are implemented in a timely fashion.
  • Identify and correct deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance.
  • Work with portfolio managers, advisors, marketing, and operations to help resolve compliance issues or to provide recommendations on compliance matters.
  • Perform compliance monitoring test work over the funds investment adviser in an oversight capacity for assigned trusts. This includes, but is not limited to, portfolio compliance, best execution, proxy voting, and soft dollars.
  • Perform compliance monitoring test work on behalf of the trust. This includes, but is not limited to, market timing, code of ethics, compliance with trust procedures and annual testing/reporting.
  • Perform periodic testing pertaining to the compliance programs and related policies and procedures of service providers, including Ultimus entities.
  • Participate in risk management activities, including monitoring of the effectiveness of internal departmental controls and procedures and reviewing results of regulatory examinations and internal or external audits or testing
  • Coordinate responses to SEC and other regulatory examinations and inquiries related to Ultimus, its fund clients and their advisers
  • Assist in the monitoring, review, communication and implementation of changes to the federal securities laws, especially those that could require revisions to the fund or service provider policies and procedures.


  • Strong knowledge and understanding of Investment Company Act of 1940.
  • * Working knowledge of Investment Advisers Act of 1940.
  • * At least 10 years of experience in the mutual fund or investment advisory industry
  • * At least 5 years of relevant industry experience in mutual fund or investment advisor compliance
  • Licensure/Certification:

  • * NSCP or other relevant certifications a plus.
  • Education:

  • * Bachelors Degree or equivalent
  • Benefits

    • Easy commute from I-71, I-74, I-75, and I-275 in Cincinnati. Columbus office is just off I-270 in the Easton area.
    • Professional office environment with business casual attire and Friday jeans days
    • Onboarding program that facilitates access to CEO, President and COO and builds familiarity with firm mission, functions, clients and business opportunities
    • Four weeks of paid time off
    • Nine paid holidays
    • Medical, Dental, and Vision Insurance with affordable employee premiums
    • 401(k) Plan, with company match and Roth option
    • Short- & Long-Term Disability Insurance
    • Life/AD&D Insurance
    • Business Travel Accident Insurance
    • Pre-Tax Flexible Spending Accounts
    • Employee Assistance Program
    • 529 College Savings Plan
    • Flexible work arrangements possible depending upon job duties
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    Ultimus Fund Solutions, LLC