Compliance, Registered Funds - Associate
: Job Details :

Compliance, Registered Funds - Associate

Join to apply for the Compliance, Registered Funds - Associate role at iCapital

Compliance, Registered Funds - Associate

Join to apply for the Compliance, Registered Funds - Associate role at iCapital

Get AI-powered advice on this job and more exclusive features.

About The RoleiCapital 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.

About The RoleiCapital 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

BenefitsThe 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 Twitter: @icapitalnetwork | LinkedIn: | Awards Disclaimer: 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.

Seniority level

• Seniority levelMid-Senior level

Employment type

• Employment typeFull-time

Job function

• Job functionFinance and Sales
• IndustriesFinancial Services and IT Services and IT Consulting

Referrals increase your chances of interviewing at iCapital by 2x

Sign in to set job alerts for “Compliance Associate” roles.

Fairfield County, CT $100,000.00-$150,000.00 1 week ago

Ice Cream Compliance Associate Manager, North America

Englewood Cliffs, NJ $86,080.00-$129,120.00 3 weeks ago

Stamford, CT $180,000.00-$240,000.00 1 week ago

Norwalk, CT $170,000.00-$225,000.00 2 weeks ago

Bronx, NY $75,000.00-$75,000.00 3 weeks ago

East Hills, NY $80,000.00-$130,000.00 3 weeks ago

Stamford, CT $66,200.00-$121,800.00 1 week ago

Stamford, CT $180,000.00-$220,000.00 1 week ago

Stamford, CT $66,200.00-$121,800.00 3 weeks ago

Legal and Compliance Specialist Req-4573

Bronx, NY $75,000.00-$75,000.00 2 months ago

Connecticut, United States $200,000.00-$325,000.00 1 week ago

Chief Compliance Officer, Mastercard Transaction Services-R-250386

Bronx, NY $160,000.00-$180,000.00 2 weeks ago

Jericho, NY $66,200.00-$121,800.00 3 weeks ago

Englewood Cliffs, NJ $60,000.00-$70,000.00 1 week ago

New York, NY $60,000.00-$68,000.00 1 week ago

Appeals Bureau: Trial Preparation Assistant LV 2Regulatory Affairs & Supplier Compliance Specialist

Valhalla, NY $120,000.00-$150,000.00 1 year ago

Compliance Specialist, Bureau of ControllerCompliance/Legal Associate – Agreements and Disclosure Management (Temp).Analyst, AML/CFT & OFAC Compliance, Monitoring & Oversight

Fort Lee, NJ $80,000.00-$100,000.00 2 weeks ago

Valhalla, NY $71,281.00-$89,605.00 7 hours ago

We're unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr