Compliance Specialist

3 weeks ago

New York, New York, United States iCapital Full time
About the Role

iCapital is a leading financial technology platform that powers the world's alternative investment marketplace. Our innovative platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients.

As a key member of our Compliance team, you will play a vital role in administering and enhancing our Compliance program. You will work closely with senior Compliance and Legal team members on a variety of compliance matters, including marketing materials review and registered funds compliance activities.

Responsibilities

  • Review registered fund new product marketing materials and private fund marketing materials for SEC and FINRA compliance.
  • Review and organize 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 with periodic 40Act filings and certifications.

Qualifications

  • 3-5 years of experience, preferably with both broker dealer and registered investment advisor experience.
  • Experience with alternative investments and understanding of compliance restrictions around private placements and registered products.
  • Experience with registered products and 40 Act compliance.
  • JD is a plus.
  • Strong communication and problem-solving skills.
  • Motivated to learn new topics and work in an evolving business environment.
  • Organized and detailed-oriented with big picture capability.
  • Proficient in Microsoft Excel and Word.

iCapital offers a competitive compensation package, including 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).

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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