Join the World's Top Legal Talent Network

SUMMARY The VP, Senior Legal Counsel is responsible for providing a high-level of legal administration services to address the needs of multiple clients. Additionally, this role will require a broad and in-depth knowledge of the Investment Company Act, as well as familiarity with other relevant securities laws.

KEY ACCOUNTABILITIES SPECIFIC CLIENT TASKS AND RELATIONSHIPS

• Supervises the preparation of (and, if appropriate, prepares) client registration statement updates in an accurate and timely manner.
• Supervises the preparation of (and, if appropriate, prepares) all other client SEC filings in an accurate and timely manner.
• Leads the preparation and distribution of (and, if appropriate, prepares and distributes) all client board and committee materials in an accurate and timely manner.
• Attends board and committee meetings by telephone or, if client requests, in person, to record notes and make presentations.
• Supervises the drafting of (or, as appropriate, drafts) the minutes of client board and committee meetings.
• Provides updates to clients on recent regulatory events and conducts regulatory research for clients that does not involve legal conclusions.
• Drafts contract amendments (and, if needed, contracts amendments) for services provided to assigned clients.
• Ensures the completion of (or, if appropriate, completes) all internal compliance related documents for assigned clients, such as filing checklists.
• Ensures that the Legal Administration relationship with each assigned client is strong and that the client’s satisfaction level with the relationship remains high.

SPECIAL PROJECTS

• Supervises the preparation of (and, if appropriate, prepares) relevant filings and documents for special regulatory add-on services such as building of new funds or trusts, proxy and information statements, and Form N-14.
• Serves on departmental, interdepartmental, and ICI committees, as requested.
• Participates in sales presentations with prospective clients and in the onboarding of new clients.

WORKING RELATIONSHIPS

• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• Regular contact with internal departments and external vendors or relationships with respect to meeting assigned clients’ needs.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

• A J.D. and membership in the bar of at least one state.
• 7-10 years of experience as an Investment Company Act attorney.
• Legal experience working with a fund administrator or fund adviser.

KNOWLEDGE

• The Investment Company Act of 1940.
• Investment Advisers Act of 1940.
• The Securities Act of 1933.
• The Securities Exchange Act of 1934.
• Microsoft Office Suite.
• Adobe Acrobat.

SKILLS AND ABILITIES

• Leads board and other meetings with current clients and presents legal administration services to potential clients.
• Written communication skills, including the ability to set forth complex legal principles in “plain English.”
• Oral communication skills, whether the audience is comprised of clients, Ultimus senior management, or Ultimus peers and subordinates.
• Client service skills with an aptitude for understanding the clients’ legal needs and how they are related to the clients’ business needs.
• Aligns associates with company values and goals.
• Plans and delegates the work of others.
• Motivates and inspires others.
• Assesses 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 research, 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.
• 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.

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