LatAm Regulatory & Compliance - Assistant Vice President / Vice President
iCapital is seeking an Assistant Vice President or Vice President to join its Regulatory and Compliance team, focusing on Distribution Compliance in Latin America. This role involves providing compliance advisory and supervisory support for the firm's distribution of alternative investment products across Latin American markets. The position collaborates closely with the Distribution, Legal, Product, and Global Compliance teams to ensure that distribution, marketing, and investor communications adhere to applicable FINRA rules, U.S. securities laws, and jurisdiction-specific and cross-border requirements.
Key responsibilities include serving as the primary compliance contact for distribution teams covering Latin America, providing guidance on cross-border solicitation rules, private placement regimes, and interactions with non-U.S. investors and placement agents in the region. The role also involves coordinating with local counsel to assess regulatory risks, confirming permissible activities, and documenting jurisdiction-specific compliance positions. Additionally, the candidate will support compliance with Regulation D and Regulation S offerings marketed to non-U.S. investors, develop and enhance written supervisory procedures, and monitor regulatory developments impacting the distribution of alternative investments in Latin America.
The ideal candidate will have 7-10+ years of experience, preferably with both broker-dealer and registered investment advisor backgrounds. A strong working knowledge of FINRA broker-dealer rules, SEC regulations, and cross-border offering frameworks, including Regulation D and Regulation S, is essential. Demonstrated experience supporting private placement or alternative investment distribution to non-U.S. investors in Latin America is required. The candidate should possess excellent verbal communication skills, thrive in a fast-paced environment, and be self-motivated with robust project management and process development skills. Bilingual proficiency in English and Spanish is preferred, and a Juris Doctor (JD) degree is a plus but not required.
The base salary range for this role is $135,000 to $175,000. iCapital offers a comprehensive compensation package that includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a benefits package featuring 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). Employees in this role will work in the office Monday through Thursday, with the flexibility to work remotely on Friday.
iCapital fosters a collaborative and innovative company culture, emphasizing continuous learning and professional growth. The firm provides opportunities for employees to engage in challenging projects and expand their expertise in the rapidly evolving field of alternative investments. Joining iCapital offers a chance to be part of a dynamic team dedicated to transforming the alternative investment landscape and delivering exceptional value to clients.