Regulatory and Compliance - Assistant Vice President
New York, New York, United States · Hybrid
$85k–$110k/yr
Senior$11B raised
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 invest…
Skills: Regulatory Compliance, Marketing Material Review, SEC Compliance, FINRA Compliance, Alternative Investments
Structured Investments Attorney - Assistant Vice President / Vice President
New York, New York, United States · Hybrid
$180k–$220k/yr
Mid level$11B raised
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Investment Strategy, Private Markets - Vice President
New York, New York, United States · Hybrid
$160k–$200k/yr
Senior+$11B raised
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Business Development and Enterprise Coverage, Private Banks and Wirehouses - Vice President
New York, New York, United States · Hybrid
$145k–$175k/yr
Senior$11B raised
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Skills: Business Development, Relationship Management, Alternative Investments, Wealth Management, Client Service
Relationship Manager, Business Development - RIA Enterprise Vice President
New York, New York, United States · Hybrid
$80k–$100k/yr
Senior$11B raised
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New York, New York, United States · Hybrid
$120k–$180k/yr
Senior$11B raised
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New York, New York, United States · Hybrid
$200k–$240k/yr
Senior+$11B raised
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Corporate Governance - Assistant Vice President / Vice President
New York, New York, United States · Hybrid
$110k–$175k/yr
Senior$11B raised
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New York, New York, United States · Hybrid
$100k–$150k/yr
Mid level$11B raised
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Structured Investments Product Manager - Vice President
New York, New York, United States · Hybrid
$150k–$200k/yr
Senior+$11B raised
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Regulatory and Compliance - Assistant Vice President
Lead the review and approval process for marketing materials to ensure compliance with SEC and FINRA regulations. Collaborate with business lines to provide guidance on new initiatives and maintain company policies and procedures.
Requirements
Requires a bachelor's degree and over 5 years of experience, preferably with both broker-dealer and registered investment advisor backgrounds. Must have strong knowledge of Rule 206(4)-1 and experience with private funds and alternative investments.
Full job description
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.
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.
Helping Financial Professionals implement and manage alternative strategies for growth.
Industry
Technology, Information and Internet
Company size
1,001-5,000 employees
Founded
2013
Headquarters
New York, NY
LinkedIn followers
92,622
Total funding
$11B
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.
Offices: 60 East 42nd Street, 26th Floor, New York, NY 10165, US · 2 Greenwich Plaza, Greenwich, Connecticut 06830, US · 214 Carnegie Center, Princeton, New Jersey 08540, US · 10 High Street, Boston, Massachusetts 02110, US · 2500 N Military Trail, Boca Raton, Florida 33431, US
HNW Fundraising PlatformAlternative InvestmentsPrivate Equity and Hedge FundsPrivate Investor NetworkPrivate Access VehiclesCustom Fund Solutionsand Private CreditBankingAsset ManagementFinTech