Compliance, Regulatory Reporting - 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 $130 billion in global client assets invested in 1,036 funds, as of May 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 for a Vice President of Compliance to join the Legal and Compliance team. This position will work closely with both the Chief Compliance Officer and Deputy General Counsel on a variety of compliance matters, most specifically those pertaining to regulatory reporting and marketing review.

• Assist in preparation of regulatory filings including Form ADV, Form PF, and Regulation D/blue sky notices.
• Leverage firm technology to assist in both internal and external reporting.
• Review new product marketing materials for SEC and FINRA compliance.
• Review client communications and quarterly reporting.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses on how such developments impact our activities.

• 4-8 years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and FINRA regulation
• Experience with alternative investments and understanding of compliance restrictions around private placements and registered products, including SEC filings for private funds
• JD a plus but not required
• Prior Fintech experience is desirable
• 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 Microsoft Excel and Word

iCapital offers a comprehensive benefits package that includes a competitive total compensation program consisting of salary, equity for all full-time employees, annual performance bonus, and an employer matched retirement plan; generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling; unlimited paid time off (PTO) and parental leave. 

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.