Compliance Specialist, Advertising
Ultimus Fund Solutions
About this role
The Compliance Specialist – Advertising assists in implementing and executing the broker-dealer compliance program, focusing on advertising review, regulatory compliance, and audits. They support departmental projects, conduct website reviews, and handle inquiries from clients and internal teams.
Skills
Qualifications
About Ultimus Fund Solutions
ultimusfundsolutions.comUltimus Fund Solutions is a fund services firm that combines institutional-strength operational infrastructure with boutique, client-focused service. They offer fund administration, transfer agency and shareholder services, fund accounting and NAV calculation, middle-/back-office outsourcing, and regulatory/compliance reporting for mutual funds, ETFs, hedge funds and other pooled vehicles. Ultimus emphasizes scalable technology and operational expertise to deliver customized, turnkey solutions and hands‑on relationship management for asset managers, RIAs, broker‑dealers and other financial intermediaries.
About Ultimus Fund Solutions
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
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View leadership team, funding history,
and employee contacts for Ultimus Fund Solutions.
Salary
$60k – $70k
per year