Broker-Dealer Compliance - Associate Greenwich, CT, United States

iCapital; Salt Lake City (UT); On-site; USD 90,000 - 115,000; Full time

Job summary

An established industry player is seeking a Compliance Associate to join its Regulatory and Compliance group. In this pivotal role, you will oversee employee-related compliance matters, including the review of outside brokerage accounts and personal trading activities. You will also assist in developing training programs and responding to regulatory inquiries. This position offers a dynamic work environment where you can thrive in a fast-paced setting while contributing to compliance excellence. With a competitive salary and a comprehensive benefits package, this opportunity is perfect for those looking to make a significant impact in the financial technology sector.

Benefits

Employer-matched retirement plan

100% employer-paid dental and vision

Telemedicine services

Unlimited paid time off (PTO)

Annual performance bonus

Parental leave

Qualifications

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

Responsibilities

• Collaborate on marketing initiatives, providing compliance guidance.
• Assist in maintaining and updating compliance policies and procedures.

Skills

Broker-Dealer Compliance

FINRA Rules Knowledge

Verbal Communication

Project Management

Process Development

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 which 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.

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