Manager, Legal Administration

The Manager, Legal Administration leads the provision of legal administration services for Ultimus’ mutual fund clients. Additionally, this role manages a team of paralegals that prepares board materials and regulatory filings, manages regulatory calendars, provides general legal, filing and governance support, and oversees other client-related matters. This role is also responsible for providing the same legal administration services to clients.

• Assists in training and developing associates to maximize productivity, innovation, and teamwork; serves as a resource regarding legal, administrative, or operational issues.
• Monitors, delegates, and assigns paralegal manager and paralegal work based on skills, performance objectives, and development opportunities, as well as client and department demands and priorities.
• Prepares client registration statement updates.
• Prepares other client SEC filings and forms.
• Prepares and distributes client board and committee materials (including agendas, exhibits, reports, and resolutions).
• Prepares minutes of client board and committee meetings.
• Attends board and committee meetings by telephone or, if the client requests, in person, to record notes, as needed.
• Coordinates with clients, fund counsel, internal teams, and other fund service providers with respect to fund issues and assists with the resolution of client issues.
• Maintains contractual agreements and corporate governance documents.
• Manages regulatory calendars and filing processes.
• Assists in the development and oversight of legal administration procedures relating to board meetings, corporate governance, and SEC filings.
• Leads and assists with projects, as needed.

• Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
• Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.
• Establishes team and individual goals for department.
• Fosters performance of associates and the processes used by them; holds the associates accountable for their work.

• Serves as a primary legal contact for designated clients and a diplomat for Ultimus.
• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• 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 required and assigned.

• A bachelor’s degree from an accredited college or university.
• A paralegal certificate from an accredited school, college, or university.
• 5+ years of paralegal or legal administration experience in a corporate or law firm environment.
• 5+ years of experience with the Investment Company Act of 1940.
• 1-2 years of management and leadership experience.
• Equivalent education and experience will be considered.

• Day-to-day legal administration services provided by Ultimus.
• Relevant statutes and rules relating to the core job functions.
• Financial services industry.
• Investment Company Act of 1940.
• Microsoft Office Suite.
• Adobe Acrobat.

• Strong client service skills with an aptitude to understand the clients’ basic legal needs and how they are related to the clients’ business needs.
• Training skills and a desire to train others.
• Works with minimum direction from an attorney.
• Exercises good judgement.
• A…