AML/KYC AVP — Private Funds Compliance Leader

iCapital; New York (NY); On-site; USD 120,000 - 190,000; Full time

Job summary

iCapital is seeking a Compliance Assistant Vice President 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.

The role will ensure compliance with AML/KYC requirements and assist Legal and Compliance with various tasks, including review of AML/KYC documentation, client communications, quarterly reporting and ongoing monitoring.

Qualifications

• 5+ years of alternatives experience, preferably with broker-dealer and registered investment adviser experience.
• Strong AML/KYC knowledge of regulatory requirements for private fund investors.
• Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933, and Cayman Islands AML regulations.

Responsibilities

• Lead the review and approval process for investor AML and KYC with a private fund focus.
• Review investor and client AML/KYC documentation, client communications, quarterly reporting and ongoing monitoring.
• Perform third party reliance testing and monitoring; assist in inquiries and audits.
• Collaborate across business lines to provide compliance guidance and support AML/KYC initiatives.

Skills

Project management

Process development

Verbal communication

Education

ACAMS certification preferred

JD is a plus

Tools

LexisNexis

Worldcheck

ComplyAdvantage

Job description

iCapital is seeking a Compliance Assistant Vice President 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.

The role will ensure compliance with AML/KYC requirements and assist Legal and Compliance with various tasks, including review of AML/KYC documentation, client communications, quarterly reporting and ongoing monitoring.