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Compliance Specialist
2 months ago
iCapital is seeking a highly skilled Assistant Vice President to join its Regulatory and Compliance team. This individual will play a critical role in administering and enhancing the company's registered 1940 Act product compliance program.
The successful candidate will work closely with senior Legal and Compliance team members on a variety of compliance matters, including assisting with policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting.
This role will also involve working on similar matters related to privately offered funds, ensuring that all compliance requirements are met.
Responsibilities- Assist in maintaining and updating policies and procedures related to registered funds.
- Review registered fund filings, marketing materials, and client communications to ensure compliance with regulatory requirements.
- Advise on issues related to distribution and ensure that all compliance requirements are met.
- Oversee reporting processes to ensure timely and accurate submissions to regulatory bodies.
- Perform compliance testing and monitoring to identify and mitigate potential risks.
- Assist in conducting company-wide training to meet SEC obligations and ensure that all employees are aware of their compliance responsibilities.
- Monitor industry-wide compliance initiatives and regulatory developments to ensure that the company remains compliant with all relevant laws and regulations.
- Bachelor's degree in a related field, such as law, finance, or business.
- 6-10 years of experience in compliance program oversight, with a focus on registered products and investment management.
- Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable FINRA rules.
- Experience in investment management, wealth management, or fintech industry.
- Proficient in Microsoft Office Suite, specifically Word, PowerPoint, and Excel.
- Excellent presentation, communication, and interpersonal skills.
- Willingness to learn new topics and work in an evolving business environment.
- Organized and detail-oriented with big picture capability.
- JD or equivalent is preferred.
- FINRA Series 7 and 24 is preferred.
iCapital offers a competitive compensation package, including salary, equity, and an annual performance bonus. The company also provides a comprehensive benefits package, including an employer-matched retirement plan, generously subsidized healthcare, parental leave, and unlimited paid time off (PTO).
iCapital is an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based on 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.
