Regulatory and Compliance - Assistant Vice President
About this role
About the Role
iCapital is seeking an Assistant Vice President to join the Regulatory and Compliance team. This role will assist with a variety of international offerings activities, both at the firm level and for investment vehicles as well as conduct compliance marketing materials review on a wide variety of communications.
The ideal candidate is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent communication skills.
Responsibilities
- Ensure communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules.
- Conduct compliance monitoring programs relating to marketing materials, including updates to disclosure language.
- Coordinate with external counsel to obtain and incorporate regulatory guidance for marketing materials.
- Assist in maintaining and overseeing the compliance program for a registered investment adviser.
- Update and enhance policies and procedures and support ongoing compliance training initiatives.
- Support the preparation for, and response to, regulatory inquiries, examinations, and audits.
- Contribute to additional Regulatory and Compliance initiatives and ad hoc projects, as needed.
Qualifications
- Bachelor's degree, J.D. or equivalent is a plus
- 5+ years of experience, preferably with registered investment advisor experience
- Proficient in Microsoft Office Suite (Word, PowerPoint, Excel)
- Excellent verbal communication and presentation skills
Benefits
The base salary range for this role is $110,000 to $140,000. 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.
Company at a glance
Innovating at the intersection of technology and investment opportunity, iCapital streamlines the integration of alternative investment strategies into client portfolios. For asset managers seeking to capture private wealth assets and advisors looking to diversify through private market investing, iCapital provides the means to grow and scale efficiently.
At the forefront of the digital transformation in alternative investing, iCapital’s secure platform delivers a complete portfolio of management capabilities for education, transactions, data flows, analytics, and client support throughout the investment lifecycle. With $880 billion of global volume activity on platform, inclusive of $220 billion in global alternative assets, the iCapital operating system automates and streamlines the complex process of private market investing and seamlessly integrates with clients’ existing infrastructure platform and tools.
iCapital employs more than 1,750 people globally and has 16 offices worldwide, including New York, Greenwich, Zurich, Lisbon, London, Hong Kong, Singapore, Tokyo, and Toronto. iCapital has consistently been recognized for its outstanding innovation, fintech industry leadership, and performance, including CNBC World Top Fintech Companies for 2024, and Forbes Fintech 50 for seven consecutive years since 2018.
Top Benefits
- Equity
- Annual Performance Bonus
- Employer Matched Retirement Plan
- Healthcare
- Dental Insurance
- Vision Insurance
- Telemedicine
- Virtual Mental Health Counseling
- Parental Leave
- Unlimited Paid Time Off
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