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Regulatory & Compliance - Associate

Salt Lake City, Utah, United States

About the Role

iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

 

Responsibilities

· Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.

· Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.

· Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.

· Inform senior management of any material regulatory or operational changes.

· Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.

· Assist with ad-hoc compliance-related matters.

 

Qualifications

· 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings

· Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds

· Comfortable leading discussions and initiatives with senior internal and external stakeholders

· Able to manage multiple deadlines and projects

· Organized and detailed oriented with big picture capability

· Strong interpersonal and leadership skills

· Willingness to learn new topics and work in an evolving business environment

· Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies

 

Benefits

The base salary range for this role is $ 70,000 to $ 95,000. 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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