Compliance - Assistant Vice President / Vice President

About the Role

iCapital is looking for a Compliance Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team to lead the review and approval process for investor KYC with a strong private fund focus. The candidate will be responsible for ensuring compliance with all KYC regulatory requirements and generally assisting the Legal and Compliance teams.

Responsibilities

• Review of AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
• Perform compliance testing and monitoring.
• Collaborate across various business lines on new initiatives, providing compliance guidance.  
• Help with maintenance and updates of policies and procedures based on new regulatory developments and new business initiatives.
• Assist in developing and conducting company-wide training to meet regulatory obligations.
• Support in the preparation for and respond to inquiries and audits from regulatory authorities. 

Qualifications

• 3-7 years of alternative investments experience, preferably with both broker dealer, private funds, registered investment advisor experience, as well as an understanding of compliance requirements
• Strong knowledge of the Investment Company Act of 1940 and Securities Act of 1933
• Excellent verbal communication skills and strong ability for personal interaction 
• Thrives in a fast-paced environment with a continuous learning mindset 
• Self-motivated with robust project management and process development skills 
• JD is a plus

Benefits

The base salary range for this role is $120,000 to $170,000.  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.