VP, Legal Counsel

Ultimus Fund Solutions

Legal Counsel responsible for legal administration and compliance tasks for investment clients. Mentoring associates and ensuring client satisfaction in legal relationships.

Posted 7/30/2026full-timeRemote • Colorado, New York, Ohio • 🇺🇸 United StatesLeadWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance and legal documentation, with a strong focus on the Investment Company Act of 1940 and related securities laws. Proven leadership in managing client relationships and mentoring associates while ensuring client satisfaction.

Highest-signal resume keywords

J.D. Degree1940 Act Attorney ExperienceManagement ExperienceRegulatory ResearchClient Relationship Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Drafting Contract AmendmentsPreparing SEC FilingsMeeting Minutes DraftingRegulatory Compliance DocumentationClient Registration Statement Updates

Soft Skills

LeadershipMentoringCommunication

Tools & Technologies

Microsoft Office SuiteAdobe Acrobat

Certifications & Qualifications

Bar Membership

Industry Keywords

Investment Company Act of 1940Investment Advisers Act of 1940Securities Act of 1933Securities Exchange Act of 1934Securities Laws

About the role

Key responsibilities & impact

Supervises the preparation of client registration statement updates.
Supervises the preparation of other client SEC filings.
Leads the preparation/distribution of client board and committee materials.
Attends board and committee meetings to record notes and make presentations.
Drafts the minutes of meetings with review by a senior attorney.
Provides updates to clients on recent regulatory events and conducts regulatory research.
Drafts contract amendments for services provided to assigned clients.
Completes all internal compliance related documents in a timely manner.
Guarantees client satisfaction with the Legal Administration relationship.
Supervises preparation of filings for special regulatory services with guidance from senior attorneys.
Mentors associates and maintains regular contact with internal departments and clients.

Requirements

What you’ll need

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

Benefits

Comp & perks

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