Senior Fund Compliance & Regulatory Strategy Lead

Dayforce; Cincinnati (OH); On-site; USD 120,000 - 180,000; Full time

Job summary

Ultimus Fund Solutions seeks an AVP, Fund Compliance to coordinate daily, monthly, and quarterly compliance workflows, ensuring policies are implemented and regulatory records are maintained for UFS clients.

The role includes advising clients on SEC/IRS regulations, testing programs, and staff development while collaborating with audit firms and internal teams to sustain compliance across funds.

Qualifications

• Bachelor’s degree in business administration, finance, or related field.
• 7+ years of regulatory compliance experience.
• Experience with SEC/IRS regulations and mutual funds industry.
• 3-5 years of management and leadership experience.

Responsibilities

• Coordinate daily, monthly, and quarterly compliance workflows.
• Maintain regulatory records for clients.
• Provide guidance on rules/regulations under SEC, IRS, and internal regs.

Skills

Regulatory compliance

Leadership

Policy development

Audit coordination

Communication

Education

Bachelor's degree in business/finance

Equivalent education/experience

Tools

Microsoft Office

Adobe Acrobat

Job description

Ultimus Fund Solutions seeks an AVP, Fund Compliance to coordinate daily, monthly, and quarterly compliance workflows, ensuring policies are implemented and regulatory records are maintained for UFS clients.

The role includes advising clients on SEC/IRS regulations, testing programs, and staff development while collaborating with audit firms and internal teams to sustain compliance across funds.