Compliance, Registered Funds – Senior Vice President

About the Role

iCapital is seeking a Senior Vice President to join the Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program.  This role will work closely with Senior Portfolio Management, Business, Compliance and Legal team members on a variety of compliance matters focused on registered funds including assisting with new fund initiatives, improving policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting.  The ideal candidate has experience managing a team and is highly organized, adaptable, collaborative, detail-oriented, and possesses excellent interpersonal and communication skills.

Responsibilities

• Lead and manage the compliance program for registered investment funds.
• Manage a growing team of registered fund compliance professionals.
• Oversee board reporting including the 15(c) process.
• Conduct oversight of registered fund new product marketing materials for SEC and FINRA compliance.
• Review and organize registered fund client communications and quarterly reporting.
• Perform registered fund compliance testing and monitoring.
• Collaborate with the Legal team and outside counsel with periodic 40 Act filings and certifications.
• Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
• Conduct training to meet both SEC and FINRA obligations related to registered funds.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses to review how these developments impact our activities.

Qualifications

• Bachelor's degree in a related field
• 10+ years of experience, preferably with both broker dealer and registered investment adviser experience
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC Rule 482, and applicable FINRA rules including FINRA Rule 2210
• FINRA Series 7 and 24 licenses are required
• Experience with registered investment company EDGAR filings including shareholder reports (N-CSR) and tender offers (SC TO-I)
• JD is a plus
• Strong interpersonal and leadership skills
• Commitment to learn new topics and work in an evolving business environment
• Organized and detailed oriented with big picture capability
• Proficient in MS Excel and Word

Benefits

The base salary range for this role is $180,000 to $240,000. 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. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

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.

Client-provided location(s): New York, NY, Greenwich, CT

Job ID: 8224166002

Employment Type: OTHER

Posted: 2025-10-24T18:33:13