Regulatory & Compliance - Associate
iCapitalGreenwich, Connecticut, United States · Posted 23 days agoDescription
About the Role
iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.
Responsibilities
· Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
· Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
· Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.
· Inform senior management of any material regulatory or operational changes.
· Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.
· Assist with ad-hoc compliance-related matters.
Qualifications
· 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
· Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
· Comfortable leading discussions and initiatives with senior internal and external stakeholders
· Able to manage multiple deadlines and projects
· Organized and detailed oriented with big picture capability
· Strong interpersonal and leadership skills
· Willingness to learn new topics and work in an evolving business environment
· Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies
Benefits
The base salary range for this role is $ 70,000 to $ 95,000. 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.
Similar jobs
Est. 82,500 USD
About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compl…
Est. 207,500 USD
About the Role iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program. This role will work closely with the senior portf…
Est. 170,000 USD
About the Role iCapital is looking for an Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private…
Est. 100,000 USD
About the Role iCapital is looking for a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-deale…
Est. 207,500 USD
About the Role iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program. This role will work closely with the senior portf…
Est. 162,500 USD
About the Role iCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The candidate will be responsible for ensuring compliance w…
Est. 95,000 USD
About the Role iCapital is looking to hire an Associate to join the Investor Relations team to service the company’s rapidly growing client base. This role will work with a broad range of clients within a fast-paced, col…
Est. 170,000 USD
About the Role iCapital is looking for a Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private a…
Est. 77,500 USD
About the Role iCapital is looking to hire a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role wi…
Est. 207,500 USD
About the Role iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Offi…
Est. 127,500 USD
About the Role iCapital is seeking an Associate to join the Corporate Development and Strategy team. The individual will join a highly valued team responsible for evaluating, planning, and executing organic and inorganic…
Est. 175,000 USD
About the Role iCapital is looking to hire a Vice President to join the Alternatives Distribution team. This individual will be responsible for supporting iCapital National Account efforts to proactively grow business an…
Est. 142,500 USD
About the Role iCapital is seeking a Corporate Governance Assistant Vice President or Vice President to join the Legal team. The ideal candidate will support and enhance iCapital's Global Corporate Governance program thr…
Est. 140,000 USD
About the Role iCapital is looking for an Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private…
Est. 190,000 USD
About the Role iCapital is seeking two mid-senior level investment professionals for its portfolio management team, who will each be responsible for building and managing an evergreen portfolio comprised of private equit…
Est. 80,000 USD
About the Role iCapital is looking for a Client Delivery Specialist Associate to join the Data Solutions team. This role will set up and maintain the financial software applications we utilize, assist clients with issues…
Est. 185,000 USD
About the Role iCapital is looking to hire a Vice President to join the Structured Investments team. This role will support the Structured Investments team, within the firm’s technology platform, by owning, developing, a…
Est. 105,000 USD
About the Role iCapital is looking for a Client Delivery Specialist, Assistant Vice President to join the Data Solutions team. iCapital is looking to hire a Client Delivery Specialist, Assistant Vice President to join th…
Est. 127,500 USD
About the Role iCapital is transforming the retirement investment landscape and is seeking a detail-oriented, analytical Fund Accountant to support the expansion of its Collective Investment Trust (CIT) platform, with a…
Est. 120,000 USD
About the Role iCapital is looking to hire an Associate or Assistant Vice President to join the Structured Investments team. The ideal candidate will support client management and business development efforts across the…
About the Role iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team to support our Compliance team in ensuring adherence to applicable securities laws, regulations, and internal po…
Est. 75,000 USD
About the Role iCapital is looking to hire an Analyst Account Executive who will work on the front lines of iCapital’s growth. As a foundational member of the Sales team, this individual will be responsible for turning q…
Est. 207,500 USD
About the Role iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Offi…
Est. 77,500 USD
About the Role iCapital is seeking an Associate to service the company’s rapidly growing client base within the Investor Relations team. This role will work with a broad range of clients within a fast-paced, collaborativ…
Est. 102,500 USD
About the Role iCapital is seeking a highly motivated and intellectually curious Equity Accounting and Reporting Associate to join the Corporate Finance team. This role offers a unique opportunity to become a subject mat…
Est. 175,000 USD
About the Role iCapital is looking to hire a Vice President to join the Alternatives Distribution team. This individual will be responsible for supporting iCapital National Account efforts to proactively grow business an…
Est. 162,500 USD
About the Role iCapital is seeking a Corporate Governance Attorney to join the Legal team. The ideal candidate will support and enhance iCapital's Global Corporate Governance program and provide legal guidance on a broad…
Est. 120,000 USD
About the Role iCapital is seeking an Assistant Vice President to join the Asset Manager Solutions International team, to contribute to the development and execution of iCapital’s global strategy. This individual will su…
Est. 180,000 USD
About the Role iCapital is seeking a Vice President, Private Markets Strategist to join the Investment Strategy team. This individual will play a key role in expanding the team's private markets coverage and supporting t…
Est. 110,000 USD
About the Role iCapital is looking to hire an Assistant Vice President Account Executive who will work on the front lines of iCapital’s growth. As a foundational member of the Sales team, this individual will be responsi…