Overview
Compliance & Licensing Manager Jobs in Seattle, WA at Remitly
SUMMARY
A Paralegal I is responsible for providing legal administration services for Ultimus Fund Solutions’ mutual fund clients. Additionally, this position prepares board materials and regulatory filings, manages regulatory calendars, provides general legal, filing and governance support, and may oversee other client-related matters.
KEY ACCOUNTABILITIES
LEGAL ADMINISTRATION
Prepares client registration statement updates, client SEC filings and forms, and distributes client board and committee materials (including agendas, exhibits, reports, and resolutions.)
Prepares minutes of client board and committee meetings as needed.
Maintains contractual agreements and corporate governance documents.
Manages regulatory calendars and filing processes.
Assists in the development of legal administration procedures relating to board meetings, corporate governance, and SEC filings as needed.
Assists with client-related projects as needed.
Daily legal administration operations.
Implements and understands the day-to-day legal administration services provided by Ultimus Fund Solutions.
WORKING RELATIONSHIPS
Contact as needed with clients regarding general information, resolution of issues, inquiries, or reporting requirements.
Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.
May perform other duties as requested and assigned.
EDUCATION AND EXPERIENCE
An undergraduate degree from an accredited college or university.
A paralegal certificate from an accredited school, college, or university.
1-3 years of paralegal or legal administration experience in a corporate or law firm environment.
Experience with the Investment Company Act of 1940.
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.
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 and exercises personal integrity, responsibility, accountability, and good judgement.
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.
Equivalent education, experience, and KSA’s will be considered.
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.Show more
Title: Compliance & Licensing Manager
Company: Remitly
Location: Seattle, WA
