EDGAR Filing Agent

Ultimus Fund Solutions•Greenwood Village, CO

About The Position

The EDGAR Filing Agent is responsible for converting and filing documents with the Securities and Exchange Commission (SEC) on EDGAR systems using desktop software.

Requirements

An undergraduate degree or equivalent.
5-7 years of experience working with SEC EDGAR filings.
Experience with a typesetter.
Novaworks GoFiler or similar software.
Well-versed in all Risk Return submission types.
Microsoft Office Suite.
Adobe Acrobat.
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.
Equivalent education, experience, and KSA’s will be considered.

Responsibilities

Converts and submits level 1-2 EDGAR filings with no guidance from management.
Converts and submits level 3 EDGAR filings with guidance from management.
Provides high-quality and prompt turn-around of converted EDGAR documents allowing for timely client review before filing.
Converts documents to an EDGAR acceptable format and submits them to SEC, on behalf of client, on schedule and in compliance with regulations.
Facilitates advance payment of filing fees with client in accordance with SEC provisions.
Confirms and forwards SEC acceptance notices to client.
Provides an EWFS to the billing dept. after every EDGAR job has been completed daily.
Provides a daily log of all pending and filed jobs for that reporting cycle.
Maintains iXBRL trackers to ensure clients follow the iXBRL rule.
Assists manager with projects and staying up to date with SEC requirements and new regulations.
Helps maintain summary prospectus websites so clients follow regulations.
Performs clerical and administrative support tasks for associates.
Assists with training junior associates on conversion techniques, policies, and procedures.
Provides guidance and oversight to the team when needed.
Daily contact with clients regarding EDGAR filing services, clarification of requests, review printing needs, etc.
Direct point of contact when management is unavailable.
May perform other duties as required and assigned.