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Compliance, Registered Funds - Associate

Greenwich, Connecticut, United States

About the Role

iCapital is looking to hire an Associate to join the Regulatory and Compliance team to administer and enhance iCapital’s registered 1940 Act product compliance program. This role will work closely with Legal and Compliance team members on a variety of compliance matters focused on registered funds including assisting with policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting.  This individual may also work on similar iCapital matters relating to privately offered funds.

Responsibilities

  • Review investment product marketing materials for SEC and FINRA compliance.
  • Review registered fund client communications and quarterly reporting.
  • Perform registered fund compliance testing and monitoring.
  • Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
  • Assist in conducting company-wide training to meet both SEC and FINRA obligations.
  • Facilitate period Fund Board materials and Board reporting
  • Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.

Qualifications

  • Bachelor's degree in a related field
  • 3-5 years of compliance program oversight in the RIA and Investment Company Act of 1940 registered products space with implementation and guideline monitoring experience
  • Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable FINRA rules
  • Experience in investment management, wealth management, or fintech industry, particularly around alternative investments and understanding of compliance restrictions around registered products
  • Motivated to learn new topics and work in an evolving business environment

Benefits

The base salary range for this role is $90,000 to $115,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

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