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About the Role

The Senior Compliance Analyst assists the Chief Compliance Officer and Manager, Corporate Compliance in overseeing, investigating, documenting, and resolving compliance matters from a due diligence, risk, and regulatory standpoint for Ultimus Fund Solutions (UFS).

Responsibilities

• Conducts and coordinates compliance testing of UFS policies and procedures.
• Provides feedback and suggestions on compliance with test planning, assessment of test results and control enhancements with controls owners.
• Assists in evaluating key risk indicators.
• Assists in updating the UFS Compliance Manual by suggesting edits based on recent compliance testing results.
• Supports administration of the UFS Compliance Program and the UFS Enterprise Risk Management Program.
• Maintains resources utilized by the Corporate Compliance team for Compliance testing.
• Prepares the initial draft of quarterly compliance certifications.
• Prepares and supports compliance-related committees and working groups, including meeting materials, minutes, and tracking deliverables.
• Assists with monitoring adherence to UFS Policies and Procedures.
• Escalates issues of concern immediately to the Chief Compliance Officer.
• Presents compliance testing results and recommendations to the UFS Pricing Committee and UFS Compliance Committee.
• Assists with preparation for and provides support during regulatory examinations and audits.
• Mentors associates through instruction, coaching, providing on-the-job experiences, modeling practices, and advising on methods.
• Performs other duties as required and assigned.

Requirements

• Bachelor’s degree in business administration or related field.
• 5+ years of related compliance experience.
• Experience working in the Financial Services industry.
• Equivalent education and experience will be considered.

Skills

• SEC and FINRA rules and regulations.
• Microsoft Office Suite.
• Adobe Acrobat.
• 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.
• 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.
• Modifies team and individual priorities and deadlines in response to changing conditions and ensures completion.

Experience Level

• Senior

Education Level

• Bachelor's degree

About the Company

• 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.

Equal Opportunity

• 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.