Jobs at Ultimus Inc.

Provides transfer agency and client support services for 529 plans, including account enrollment, transfers, investment changes, complex trades, account maintenance, reconciliations, correspondence, and compliance-related inquiries. Supports account owners, financial representatives, vendors, and internal teams through phone, email, and chat. Maintains accurate records, applies plan and legal requirements, processes documentation, and assists with onboarding new associates.

Supports and administers transfer agent and shareholder recordkeeping systems. Documents client requirements, troubleshoots issues, runs batch and reporting jobs, reviews client output, and may assist with billing. Acts as a liaison between technical, operational, and client teams during onboarding and change control, while answering questions about services and system functions.

Oversees ETF fund accounting, NAV valuation, trial balances, basket processing, reconciliations, reporting, and regulatory compliance. Reviews complex fund calculations, resolves settlement and accounting issues, supports audits, manages client and custodian relationships, and oversees operational controls. Leads fund accounting associates through hiring, training, delegation, performance management, and process improvement. Applies accounting principles to various securities and prepares financial, board, budget, and N-PORT reporting.

The AVP, Fund Compliance oversees daily, monthly, and quarterly compliance monitoring and testing for mutual funds. Responsibilities include maintaining regulatory records, reviewing investment restrictions, coding funds into compliance systems, coordinating regulatory reporting, supporting audits, advising clients on SEC and IRS requirements, and managing, training, and developing compliance staff.

Leads enterprise AI strategy, product roadmapping, and cross-functional transformation initiatives. Identifies and scales high-impact AI use cases, oversees solution development and deployment, redesigns workflows, drives adoption, advises executive leadership on AI investments and governance, and establishes KPIs for efficiency, cost, quality, and client outcomes. The role also mentors associates and manages stakeholders across business, operations, and technology teams.

Leads legal administration for mutual fund clients, including SEC filings, registration statement updates, board and committee materials, meeting minutes, governance documents, regulatory calendars, and filing processes. Serves as a primary client contact, coordinates with fund counsel and service providers, resolves client issues, supports legal administration procedures, and mentors associates. Requires substantial paralegal experience and expertise with the Investment Company Act of 1940.

Prepares and files financial reports for mutual funds, ETFs, and investment products; maintains expense budgets and accruals; processes expense payments; calculates management fees and reimbursements; monitors fund performance; prepares board reports; and supports regulatory, audit, client, rating agency, and ad hoc reporting activities.