Broker-Dealer Compliance - Associate

iCapital; New York (NY); On-site; USD 90,000 - 115,000; Full time

Job summary

An established industry player is seeking a Compliance Associate to join their Regulatory and Compliance group. This role is pivotal in overseeing employee-related compliance matters, ensuring adherence to regulatory standards, and assisting in the development of policies and training programs. The ideal candidate will thrive in a fast-paced environment, possess strong knowledge of FINRA rules, and demonstrate excellent communication and project management skills. With a commitment to innovation and collaboration, this firm offers a dynamic workplace where your contributions will directly impact the firm's compliance landscape.

Benefits

Employer-matched retirement plan

Generously subsidized healthcare

100% employer-paid dental and vision

Telemedicine services

Virtual mental health counseling

Parental leave

Unlimited paid time off (PTO)

Annual performance bonus

Equity for all full-time employees

Qualifications

• 2-5 years of broker-dealer compliance experience preferred.
• Strong knowledge of FINRA rules and excellent communication skills.

Responsibilities

• Collaborate on marketing initiatives providing compliance guidance.
• Assist in updating policies and conducting company-wide training.

Skills

Verbal Communication Skills

Project Management

Process Development

Knowledge of FINRA Rules

Education

Juris Doctor (JD)

Job description

iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $218 billion in global client assets invested in 1,760 funds, as of January 2025.

iCapital has been named to the Forbes Fintech 50 for seven consecutive years (2018-2024); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a four-time winner of MMI / Barron's Solutions Provider award.

About the Role

iCapital is looking for a Compliance Associate candidate to join its Regulatory and Compliance group, focused on broker-dealer compliance. This team member will oversee employee-related compliance matters such as the review and approval of employees' outside brokerage accounts, personal trading activities, private investments, and outside business activities. The candidate will also be responsible for generally assisting the Regulatory and Compliance team with various compliance-focused tasks, including updates to policies and procedures and monitoring and testing.

Responsibilities

• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives.
• Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations.
• Assist in preparing for and responding to inquiries and audits from regulatory authorities.

Qualifications

• 2-5 years of experience, preferably with broker-dealer experience.
• Strong knowledge of the FINRA rules.
• Excellent verbal communication skills and strong ability for personal interaction.
• Able to thrive in a fast-paced environment with a continuous learning mindset.
• Robust project management and process development skills.
• JD a plus, but not required.

The base salary range for this role is $90,000 to $115,000. iCapital offers a compensation package that 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.

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.