David James

As Executive Vice President, Chief Legal and Risk Officer at Ultimus Fund Solutions, David is responsible for the legal aspects for the company’s operations, strategic initiatives and corporate activities. He oversees the Fund Administration and Compliance teams including the overall delivery of legal services to the company’s clients, contractual matters, product development, and support to the company’s executive management team.

David has over 20 years of 1940 Act mutual fund legal experience. Prior to joining Ultimus Fund Solutions in 2018, David served as the head of the legal department at one of the industry’s largest service providers, leading a group of over 50 attorneys and paralegals that provided legal regulatory services to over 60 mutual fund complexes. David spent 15 years at this large service provider and prior to that role, he worked in the legal departments for Fidelity Investments and PNC Global Investment Servicing (US), Inc.

David has served on the NICSA Legal and Regulatory Committee and was a major contributor to an industry publication entitled “Building Investor Confidence: A Guide for Mutual Fund Boards of Directors.” He has also served on industry panels for BoardIQ, Independent Directors Council of the ICI, NICSA, State Street and Boston Financial Data Services.

David entered the financial services industry in 1997 after beginning his legal career as a trial attorney in Boston.

David holds a law degree from Ohio Northern University Pettit College of Law (1995). He also holds a Bachelor of Science in Political Science from East Tennessee State University (1993). He is a member of the Massachusetts and New York Bars.