Vice President of Compliance Marketing - Remote

Overview

iCapital is seeking a Vice president to lead its Compliance marketing program for funds registered under the Investment Company Act and to provide support to its growing 1940 Act funds’ business.

In Short

• Oversee compliance review of registered fund marketing materials.
• Establish processes for compliance testing and monitoring.
• Collaborate on new marketing initiatives with compliance guidance.
• Update policies based on regulatory developments.
• Conduct company-wide training for SEC and FINRA obligations.
• Prepare for inquiries and audits from regulatory authorities.

Requirements

• 8+ years of experience with SEC and FINRA requirements.
• Strong knowledge of the Investment Company Act and SEC Marketing Rule.
• Experience with registered products and alternative investments.
• Excellent presentation and communication skills.
• Self-motivated with project management skills.
• Series 24 required; JD is a plus.

Benefits

• Base salary range of $155,000 to $180,000.
• Equity for all full-time employees.
• Annual performance bonus.
• Employer matched retirement plan.
• Generously subsidized healthcare.
• Unlimited paid time off (PTO).