Top 22 Assistant vice president Jobs in Westminster, Co

AVP, Fund Compliance - Mutual Funds
Ultimus Fund Solutions —Greenwood Village, CO
- $75,000 - $100,000 a year
- Full-time
- Writing skills
- Office
- 3 years
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Executive Underwriter or AVP, Underwriting Director - Construction Casualty
Zurich Insurance Company Ltd. —Denver, CO
- $100,000 - $215,000 a year
- Full-time
- Hybrid work
- 3 years
- High school diploma or GED
- In-person
Assistant Vice President for Equity and Student Engagement
Metropolitan State University of Denver —Denver, CO
- $112,131 - $156,984 a year
- Weekends as needed
- Doctoral degree
- Residential
- Master's degree
- Disability insurance
- Health insurance
Vice President, Associate General Counsel - Capital Markets
D.A. Davidson —Denver, CO
- $150,000 - $225,000 a year
- Full-time
- Management
- Analysis skills
- Senior level
- Paid holidays
- Health insurance
AVP, Business Development (West)
Aveanna Healthcare —Denver, CO
- $150,000 - $160,000 a year
- Full-time
- 5 years
- Driver's License
- Bachelor's degree
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AI Datacenter Associate VP
Deloitte —Denver, CO
- $171,600 - $338,300 a year
- Full-time
- Azure
- Up to 50% travel
- 3 years
Director or AVP Compensation & Total Rewards
Healthpeak Properties, Inc. —Denver, CO
- $175,000 - $210,000 a year
- Full-time
- Finance
- 8 years
- Analysis skills
Oracle Generative AI Associate Vice President
Deloitte —Denver, CO
- $163,400 - $322,100 a year
- Full-time
- Oracle
- Computer Science
- Up to 50% travel
AVP, Loan Closer - Small Business Lending
Banc of California —Denver, CO
- $75,000 - $112,500 a year
- Mid-level
- Office
- High school diploma or GED
- Paid parental leave
- Health savings account
AVP, Branch Manager
Beal Bank —Denver, CO
- Full-time
- Computer literacy
- Mid-level
- Office
- Paid holidays
- Health insurance
AVP Finance
Elevations Credit Union —Broomfield, CO
- $124,969.86 - $166,626.48 a year
- Full-time
- Hybrid work
- CPA
- Office
- 3 years
- Paid parental leave
- Health savings account
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1d
Salesforce CTA, Associate Vice President
Deloitte —Denver, CO
- $171,500 - $292,000 a year
- Full-time
- Computer science
- Management
- Computer Science
AVP Construction Management
NexCore Group —Denver, CO
- $100,000 - $125,000 a year
- Hospitality
- Construction site
- Bachelor's degree
- Commuter assistance
- Health savings account
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Senior Research Analyst, AVP
Morgan Stanley —Greenwood Village, CO
- $85,000 - $140,000 a year
- Full-time
- Mid-level
- Presentation skills
- Bachelor's degree
- Health savings account
- Paid holidays
AVP/VP, Underwriting Analytics
Guy Carpenter —Denver, CO
- $105,000 - $192,500 a year
- Full-time
- Hybrid work
- Computer Science
- Mid-level
- Office
- Health insurance
- 401(k)
AVP, Branch Manager
BEAL SERVICE CORPORATION —Denver, CO
- $72,000 - $88,000 a year
- Full-time
- Computer literacy
- Mid-level
- Office
- Paid holidays
- Health insurance
Quick Apply
Oracle Technical Cloud Associate Vice President
Deloitte —Denver, CO
- $163,400 - $322,100 a year
- Full-time
- Computer science
- Azure
- Computer Science
Cyber Oracle Cloud Security - Senior Manager / Associate Vice President, Engineering Management
Deloitte —Denver, CO
- $163,400 - $322,100 a year
- Full-time
- Oracle
- Up to 50% travel
- 11+ years
AVP, Dams Engineering Practice Leader
AECOM —Denver, CO
- $180,000 - $240,000 a year
- Full-time
- Hybrid work
- 5 years
- Bachelor's degree
- Doctor of Philosophy
- AD&D insurance
- Employee stock purchase plan
AVP, Senior Credit Analyst
First Western —Denver, CO
- $77,000 - $108,000 a year
- Full-time
- Microsoft Excel
- 5 years
- Mid-level
- Commuter assistance
- Health savings account
Quick Apply

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AVP, Fund Compliance - Mutual Funds

Ultimus Fund Solutions -
Greenwood Village, CO

Quick Apply

Job Details

Full-time
$75,000 - $100,000 a year

Qualifications

Securities & Exchange Commission
Employee relationship building
Securities law compliance support experience
Securities law
Financial services
General management
Stakeholder relationship building

Full Job Description

SUMMARY
The AVP, Fund Compliance coordinates daily, monthly, and quarterly compliance workflows, including the implementation, monitoring, and testing of new and existing policies and procedures, as well as the maintenance of regulatory records for Ultimus Fund Solutions (UFS) clients.

KEY ACCOUNTABILITIES
FINANCIAL COMPLIANCE

Monitors fund compliance on a daily and monthly basis with consideration of investment detailed Prospectus, Statement of Additional Information, and Investment Company Act of 1940.
Monitors fund compliance with consideration to the quarterly and annual requirements of the Internal Revenue Code for qualifications as a regulated investment company.
Performs reviews of a subset of quarterly compliance reporting prepared by compliance associates.
Reviews the investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for new fund launches and existing clients.
Codes newly launched funds into the compliance system and performs ongoing testing of existing client funds functionality on compliance system.
Ensures compliance testing programs keep pace with market and regulatory evolution.
Provides advice and training on rules and regulations as it pertains to portfolio compliance under SEC, IRS, and internal regulations to clients and applicable personnel.

REGULATORY REPORTING

Coordinates efforts with the Financial Administration team for the development of regulatory compliance for reporting to clients, regulatory agencies, Board of Directors, and Financial Officers.

MANAGEMENT AND DEVELOPMENT

Assists in the development and maintenance of departmental procedures.

FUND AUDITS

Maintains, updates, and implements audit controls, as necessary.

PERSONNEL MANAGEMENT

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.

WORKING RELATIONSHIPS

Acts as a liaison between UFS and external audit firms and regulatory agencies.
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used, as well as cross-training amongst departments.
Contact with Fund Accounting, Financial Administration, Relationship Management, and Legal departments regarding financial compliance activities.
Contact as needed with regulatory agencies and audit firms regarding general information, resolution of issues and inquiries or reporting requirements.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

Bachelor’s degree in business administration, finance, or related field.
7+ years of regulatory compliance experience.
Experience working within the financial services and mutual funds industry.
Experience working with SEC regulators.
3-5 years of management and leadership experience.
Equivalent education and experience will be considered.

KNOWLEDGE

Automated post-trade compliance system coding.
Investment Company Act of 1940.
SEC and IRS regulations.
Microsoft Office Suite.
Adobe Acrobat.

SKILLS AND ABILITIES

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 of department in accordance with company policies and procedures.
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 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.

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.

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Refine Your Search

assistant vice president jobs in westminster, co

AVP, Fund Compliance - Mutual Funds

Executive Underwriter or AVP, Underwriting Director - Construction Casualty

Assistant Vice President for Equity and Student Engagement

Vice President, Associate General Counsel - Capital Markets

AVP, Business Development (West)

AI Datacenter Associate VP

Director or AVP Compensation & Total Rewards

Oracle Generative AI Associate Vice President

AVP, Loan Closer - Small Business Lending

AVP, Branch Manager

AVP Finance

Salesforce CTA, Associate Vice President

AVP Construction Management

Senior Research Analyst, AVP

AVP/VP, Underwriting Analytics

AVP, Branch Manager

Oracle Technical Cloud Associate Vice President

Cyber Oracle Cloud Security - Senior Manager / Associate Vice President, Engineering Management

AVP, Dams Engineering Practice Leader

AVP, Senior Credit Analyst

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