iCapital
Powering the World’s Alternative Investment Marketplace
HNW Fundraising Platform • Alternative Investments • Private Equity and Hedge Funds • Private Investor Network • Private Access Vehicles
501 - 1000
RIA Compliance - Assistant Vice President
August 23
🏢 In-office - Manhattan
iCapital
Powering the World’s Alternative Investment Marketplace
HNW Fundraising Platform • Alternative Investments • Private Equity and Hedge Funds • Private Investor Network • Private Access Vehicles
501 - 1000
Description
• Administer and enhance iCapital’s registered 1940 Act product compliance program • Work closely with Legal and Compliance team on compliance matters
Requirements
• Bachelor's degree in a related field • 6-10 years of compliance program oversight in the RIA and Investment Company Act of 1940 registered products space with implementation and guideline monitoring experience • Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable FINRA rules • Experience in investment management, wealth management, or fintech industry • Proficient in Microsoft Office Suite, specifically Word, PowerPoint, and Excel • Excellent presentation, communication, and interpersonal skills • Willingness to learn new topics and work in an evolving business environment • Organized and detail-oriented with big picture capability • JD or equivalent is preferred • FINRA Series 7 and 24 is preferred
Benefits
• Base salary range of $100,000 to $150,000 • Equity for all full-time employees • Annual performance bonus • Employer matched retirement plan • Generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling • Parental leave • Unlimited paid time off (PTO) • Flexible work arrangements
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