Senior Paralegal - 1940 Act

SUMMARY

The Senior Paralegal leads the provision of legal administration services for Ultimus’ mutual fund clients. Additionally, this role will lead the preparation of board materials and regulatory filings, manage regulatory calendars, provide general legal, filing and governance support, and manage other client-related matters.

KEY ACCOUNTABILITIES

LEGAL ADMINISTRATION

• Prepares client registration statement updates.
• Prepares other client SEC filings and forms.
• Prepares and distributes client board and committee materials, including agendas, exhibits, reports, and resolutions.
• Prepares minutes of client board and committee meetings.
• Attends board and committee meetings by telephone or, if the client requests, in person, to record notes, as needed.
• Maintains contractual agreements and corporate governance documents.
• Manages regulatory calendars and filing processes.
• Assists in the development and oversight of legal administration procedures relating to board meetings, corporate governance, and SEC filings.
• Leads and assists with projects, as needed.

WORKING RELATIONSHIPS

• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• Serves as a primary legal contact for designated clients and a diplomat for Ultimus.
• Coordinates with clients, fund counsel, Ultimus teams and other fund service providers with respect to fund issues and assists with the resolution of client issues.
• Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

• An undergraduate degree from an accredited college or university.
• A paralegal certificate from an accredited school, college, or university.
• 5+ years of paralegal or legal administration experience in a corporate or law firm environment.
• 5+ years of experience with the Investment Company Act of 1940.

• Equivalent education and experience will be considered.

KNOWLEDGE

• Financial services industry.
• Relevant statutes and rules relating to the core job functions.
• Investment Company Act of 1940.
• Microsoft Office Suite.
• Adobe Acrobat.

SKILLS AND ABILITIES

• Client service skills with an aptitude to understand the clients’ basic legal needs and how they are related to the clients’ business needs.
• Exercises good judgement.
• 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.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.