Compliance, Broker Dealer - Assistant Vice President

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 $152 billion in global client assets invested in 1,210 funds, as of December 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 Assistant Vice President to join the Compliance team. The ideal candidate will help administer and enhance iCapital’s Compliance program. You will work closely with senior Compliance and Legal team members on a variety of matters with a focus on broker-dealer regulatory compliance and related distribution issues.

• Lead all broker-dealer regulatory filings with the assistance of our consultants including the Form BR, U-4/U-5s and various other FINRA
• Provide advice on broker-dealer policies, procedures, and regulations that impact firm activities and employee conduct.
• Develop, draft, and implement policies and procedures in response to regulatory and business changes.
• Implement written policies and procedures designed to comply with requirements applicable to registered broker-dealers, as well as revise as necessary.
• Assist with reviewing marketing materials for compliance with applicable FINRA rules and
• Perform risk assessment reviews for internal risk management and reporting processes.
• Work with the Chief Compliance Officer interface with regulators during exams and ad hoc
• Develop and deliver compliance training programs for business unit professionals.
• 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.

• 4-8 years of relevant compliance experience with a broker-dealer
• Passed the Series 24 General Securities Principal exam or willing to complete it soon after hire
• Strong knowledge of the Securities Exchange Act of 1934, as amended, SEC broker-dealer regulations and FINRA regulations and interpretations
• JD is a plus but not required
• Prior fintech experience is a plus
• Able to meet both internal and regulatory deadlines
• Strong interpersonal and leadership skills
• Willingness 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 $100,000 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. We offer most employees the flexibility to work in the office three or four days. 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.