iCapital Network

Compliance Associate, Regulatory Reporting and Marketing - Vice President

3+ months agoNew York, NY

iCapital Network 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 $70 billion in global client assets invested in close to 750 funds across more than 125,000 underlying accounts.

iCapital was named Solutions Provider of the Year at the 2020 MMI/Barron’s Industry Awards and selected to the 2018, 2019 and 2020 Forbes FinTech 50, a list of the top 50 innovative financial technology companies that are transforming finance through technology.

About the Role

iCapital is looking for a Compliance Associate candidate to join its Legal and Compliance group.  The ideal candidate will help administer and enhance iCapital’s compliance program. You will work closely with both our Chief Compliance Officer and Deputy General Counsel on a variety of compliance matters specifically those pertaining to regulatory reporting and marketing review.

Responsibilities

  • 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 of new product marketing materials for SEC and FINRA compliance
  • Review of 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 as to how such developments impact our activities

Qualifications

  • 6-10 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 MS Excel and Word

Benefits

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; and generous paid time off (PTO) featuring unlimited sick time and parental leave. 

While we are currently working remotely due to COVID-19, this position will be based in our Greenwich, CT or Princeton, NJ office.

As we plan to re-enter our offices in 2021, iCapital will offer most employees the flexibility to work remotely one to two days a week.  Every department has different needs, and some positions will be designated in-office jobs, based on their function.

For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc

 

iCapital Network 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.