Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Languages
Interests
Quote
Work Preference
Work Availability
Websites
Timeline
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David James

David James

Northborough,US

Summary

Accomplished C-Suite Chief Legal and Risk Officer with expertise in strategic planning, operational management, and team leadership. Business executive with a law degree, skilled in developing enterprise risk management programs to drive business growth within established parameters. Thrives in collaborative team environments and values humor in the workplace.

Overview

30
30
years of professional experience
1
1
Certificate

Work History

Executive Vice President and Chief Legal and Risk Officer

Ultimus Fund Solutions, LLC
07.2018 - Current
  • Leads Ultimus’ legal and compliance strategies to protect the company and its reputation
  • Ensures that Ultimus maintains a comprehensive Enterprise Risk Management Program, which is consistent with the company’s business operations, strategies, and management expertise
  • Oversees Ultimus’ Internal Compliance Department, Corporate Legal, and Legal Administration Departments to maintain a robust corporate compliance program that focuses on internal controls, risk management, and high ethical standards
  • Manages Ultimus’ CCO, who coordinates a risk-based compliance review of the business units
  • Manages Ultimus’ General Counsel, who manages the firm’s contracts with a goal of preserving strong contractual terms designed to minimize our contractual liability (e.g., gross negligence and liability caps)
  • Manages Ultimus' Outsourced Chief Compliance Officer Business line.
  • Leads Ultimus’ Regulatory Update Working Group, which monitors regulatory changes and proactively reports changes to Ultimus’ Executive Committee and clients
  • Coordinates and guides Ultimus’ response to any threatened or actual litigation
  • Advises CEO, Ultimus’ Executive Committee, and Ultimus’ Executive Risk Committee
  • Mentors senior leadership and staff, promoting professional development and knowledge sharing.
  • Active member of the ICI Chief Risk Officer Committee
  • Active member of the NICSA Risk and Compliance Officer Group

Managing Director and Managing Counsel (Department Head of Legal Fund Administration Department)

State Street Bank and Trust Company
01.2009 - 07.2018
  • Managed State Street’s Legal Fund Administration Department, a group of 51 attorneys and paralegals that provide regulatory services to over 60 mutual fund complexes ($2.5 trillion AUM).
  • Directly managed eight senior attorneys and the Department’s Office Manager.
  • Responsible for all aspects of the Legal Fund Administration Department, including overall delivery of services to the department’s clients, staffing and HR matters, sales activities and RFPs, product development, regulatory analysis, and support to the State Street Fund Administration Business unit, as well as special projects for State Street Corp.
  • Experience drafting and negotiating contracts and agreements
  • Managing the client relationship and the delivery of all legal services to 5 mutual fund complexes, requiring direct client contact daily, including advising clients on the 1933 Act, 1934 Act, and 1940 Act compliance, corporate governance, and SEC filing issues
  • Extensive boardroom experience as corporate secretary and chief legal counsel for numerous mutual funds.
  • Panelist on Industry Panels for BoardIQ, NICSA, State Street, and BFDS
  • Key contributing editor for State Street’s Publication entitled “Board Directors Guidebook.”
  • Extensive Experience in working with the diverse work product of middle-level attorneys, junior attorneys, managers, and paralegals
  • Extensive Experience in preparing for, and responding to, SEC examinations
  • Actively training junior attorneys and paralegals in group sessions as well as one-on-one mentoring
  • Regularly prepares and delivers sales presentations

Senior Counsel

PNC Financial Services
12.2005 - 12.2008

Counsel

State Street
01.2000 - 12.2005

Other Legal Positions

First Data/PNC/Fidelity
05.1995 - 12.1999

Education

J.D. -

Ohio Northern University Pettit College of Law
Ada, Ohio
12.1995

B.S. - Political Science

East Tennessee State University
Johnson City, Tennessee
05.1993

Skills

  • Executive communication expertise
  • Enterprise Risk Management design and implementation
  • Strategic problem solver
  • Leadership in regulatory compliance
  • Strong organizational and team development skills
  • Complex project management expertise
  • Corporate governance expertise
  • Collaborative leadership style with a reputation for integrity, humor, and building trust across all levels

Accomplishments

    I record and publish music as a hobby which is available on the all of the steaming services under the stage name "DJ the Not So Ordinary"

    I will be publishing my first novel, "Escala's Wish" in October 2025

Certification

  • Commonwealth of Massachusetts, 1996
  • State of New York, 1996
  • State of Ohio (Corporate Status) (2019)

Languages

English

Interests

Writing

Producing Music

Antinet Zettelkasten

Quote

If you are not laughing, you are not living
DJ

Work Preference

Work Type

Full Time

Work Location

RemoteHybridOn-Site

Important To Me

Company CultureWork-life balance

Work Availability

monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline

Executive Vice President and Chief Legal and Risk Officer

Ultimus Fund Solutions, LLC
07.2018 - Current

Managing Director and Managing Counsel (Department Head of Legal Fund Administration Department)

State Street Bank and Trust Company
01.2009 - 07.2018

Senior Counsel

PNC Financial Services
12.2005 - 12.2008

Counsel

State Street
01.2000 - 12.2005

Other Legal Positions

First Data/PNC/Fidelity
05.1995 - 12.1999

B.S. - Political Science

East Tennessee State University

J.D. -

Ohio Northern University Pettit College of Law

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