Associate, Regulatory and Compliance - Remote

Overview

iCapital 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.

In Short

• 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 and conduct analyses on regulatory developments.

Requirements

• 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.
• Knowledge of the Investment Company Act of 1940 and applicable FINRA rules.
• Experience in investment management or fintech industry.
• Motivated to learn new topics and work in an evolving business environment.

Benefits

• Base salary range of $90,000 to $115,000.
• Compensation package includes salary, equity, and annual performance bonus.
• Comprehensive benefits package including employer matched retirement plan.
• Generously subsidized healthcare with 100% employer paid dental and vision.
• Unlimited paid time off (PTO).