Regulatory & Compliance, Private Funds Marketing, Assistant Vice President
iCapital is seeking a Compliance Assistant Vice President to join its Regulatory and Compliance team, focusing on the review and approval of marketing materials produced by the firm's investment advisers and broker-dealer. This role emphasizes ensuring compliance with all communications and advertising regulations, particularly concerning private funds. The successful candidate will collaborate closely with the Distribution and Marketing teams, contributing to the firm's commitment to regulatory excellence.
Key responsibilities include reviewing marketing materials, client communications, diligence reports, research, and quarterly reporting to ensure adherence to SEC and FINRA regulations. The role also involves performing compliance testing and monitoring related to marketing materials, providing compliance guidance on new marketing initiatives, and assisting in updating policies and procedures in response to regulatory developments and business initiatives. Additionally, the candidate will contribute to developing and conducting company-wide training to meet SEC and FINRA obligations and assist in preparing for and responding to regulatory inquiries and audits.
The ideal candidate will have over five years of experience, preferably with both broker-dealer and registered investment advisor backgrounds. A strong knowledge of Rule 206(4)-1 of the Investment Advisers Act of 1940 and FINRA regulations on marketing is essential. Experience with alternative investments, particularly private funds, and an understanding of compliance restrictions around private placements and registered products are also required. Excellent verbal and interpersonal communication skills, the ability to thrive in a fast-paced environment, and robust project management and process development skills are crucial. A Juris Doctor (JD) degree is a plus.
The base salary range for this role is $85,000 to $110,000. iCapital offers a comprehensive compensation package, including salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a benefits package that includes an employer-matched retirement plan, subsidized healthcare with fully employer-paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). The company operates an office-first culture, with employees working in the office Monday through Thursday and the flexibility to work remotely on Fridays.
iCapital fosters a collaborative and innovative work environment, emphasizing professional growth and development. The firm's commitment to regulatory excellence and its dynamic, fast-paced setting provide ample opportunities for employees to expand their expertise and advance their careers. Joining iCapital means becoming part of a team dedicated to transforming the alternative investment landscape.