Compliance - Associate

iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $148 billion in global client assets invested in 1,155 funds, as of September 2022.

iCapital has been named to the Forbes Fintech 50 for five consecutive years (2018 – 2022); a back-to-back selection by Forbes to its list of Best Startup Employers; and a two-time winner of MMI/Barron’s Solutions Provider award (See link below).

iCapital is looking to hire an Associate to join the Compliance team. The ideal candidate will help administer and enhance iCapital’s compliance program. This role will work closely with senior Compliance and Legal team members on a variety of compliance matters such as marketing materials review and registered funds compliance activities.

• Review registered fund new 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.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.

• 3-5 years of experience, preferably with both Broker Dealer and Registered Investment Advisor experience
• Experience with alternative investments and understanding of compliance restrictions around private placements and registered products
• Experience with registered products and 40 Act compliance
• Experience with Separately Managed Accounts
• JD a plus but not required
• Strong communication and problem-solving skills
• Motivated to learn new topics and work in an evolving business environment
• High level of integrity
• Organized and detailed-oriented with big picture capability
• Proficient in MS Excel and Word

The base salary range for this role is $80,000 to $105,000.  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 offer most employees the flexibility to work in the office three to four days and remotely for the remainder of the week.  Every department has different needs, and some positions will be designated in-office jobs, based on their function.

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.