Regulatory Reporting Specialist
4 weeks ago
iCapital is seeking a highly skilled Regulatory Reporting Associate to join its Regulatory and Compliance team. This role will work closely with senior management to ensure compliance with regulatory requirements.
The ideal candidate will have experience with regulatory filings, including U.S. and international submissions. They will be responsible for preparing and submitting regulatory filings, working with business teams to collect and compile required data, and developing procedures to ensure robust processes for regulatory filings.
The successful candidate will also be able to monitor industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments, conduct analyses on how such developments impact our activities and reporting requirements, and discuss such changes with senior management.
Responsibilities- Prepare and submit U.S. and international regulatory filings, including Regulation D/blue sky notices, Form ADV, Form PF, and AIFMD – Annex IV.
- Work with business teams to collect, aggregate, and compile required data for regulatory filings.
- Develop and implement procedures to ensure robust processes for regulatory filings.
- Monitor industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments.
- Collaborate with internal and external stakeholders on potential solutions, efficiencies, and scalability to reporting challenges.
- 3-6 years of registered investment adviser experience, preferably in preparing regulatory filings.
- Experience with alternative investments and understanding of compliance restrictions around private placements and registered products, including SEC filings for private funds.
- 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.
- Proficient in Microsoft Excel and Word.
iCapital offers a comprehensive benefits package, including a competitive salary range of $90,000 to $115,000, equity for all full-time employees, an annual performance bonus, and a generous benefits package.
Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
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