Fund Compliance Associate: Audit & Regulatory Reporting

Ultimus Fund Solutions; Hauppauge (NY); On-site; USD 70,000 - 90,000; Full time

Job summary

Ultimus Fund Solutions in Hauppauge, NY seeks an Associate Fund Compliance Administrator to support daily, monthly, and quarterly compliance workflows for client funds. You will monitor investment restrictions, review governing documents, and maintain up-to-date compliance checklists.

This role collaborates with fund advisors, accounting, tax, and legal teams, assists with regulatory reporting, and helps prepare information for audits and regulators.

Qualifications

• Bachelor’s degree in business administration, accounting, finance, or related field.
• Experience working within the financial services and/or the mutual funds industry.

Responsibilities

• Monitor fund compliance daily and weekly per prospectus, SAI, and the Investment Company Act of 1940.
• Assist with quarterly and annual Internal Revenue Code requirements for regulated Investment Company qualifications.
• Review investment restrictions to maintain updated compliance checklists for clients.
• Populate data into compliance system and respond to client inquiries on compliance matters.
• Provide finalized compliance reporting for external audits and assist with regulator requests.

Skills

Troubleshooting

Multitasking

Analytical skills

Communication

Relationship-building

Time management

Education

Bachelor's degree in business/accounting/finance

Tools

Microsoft Office

Adobe Acrobat

Job description

Ultimus Fund Solutions in Hauppauge, NY seeks an Associate Fund Compliance Administrator to support daily, monthly, and quarterly compliance workflows for client funds. You will monitor investment restrictions, review governing documents, and maintain up-to-date compliance checklists.

This role collaborates with fund advisors, accounting, tax, and legal teams, assists with regulatory reporting, and helps prepare information for audits and regulators.