Compliance, Registered Funds - Associate Greenwich, CT, United States

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

Job summary

An innovative firm is seeking a Compliance Associate to enhance its registered funds compliance program. This role involves working closely with Legal and Compliance teams to ensure adherence to SEC and FINRA regulations while reviewing marketing materials and client communications. The ideal candidate will have a strong background in compliance oversight within the investment management sector, particularly with registered products. Join a dynamic team that values collaboration and offers a flexible work environment, where your contributions will directly impact the firm's compliance initiatives and overall success.

Benefits

Employer Matched Retirement Plan

100% Employer Paid Dental and Vision

Telemedicine Services

Unlimited Paid Time Off (PTO)

Annual Performance Bonus

Qualifications

• 3-5 years of experience in compliance oversight for registered products.
• Strong knowledge of SEC and FINRA regulations.

Responsibilities

• Review marketing materials for compliance with SEC and FINRA.
• Maintain and update compliance policies and procedures.

Skills

Compliance Program Oversight

Knowledge of Investment Company Act of 1940

Investment Management

Regulatory Reporting

Policy Implementation

Education

Bachelor's Degree in a Related Field

Job description

Compliance, Registered Funds - Associate

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 $214 billion in global client assets invested in 1,731 funds, as of December 2024.

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 to hire an Associate to join the Regulatory and Compliance team to administer and enhance iCapital’s registered 1940 Act product compliance program. This role will work closely with Legal and Compliance team members on a variety of compliance matters focused on registered funds including assisting with policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting. This individual may also work on similar iCapital matters relating to privately offered funds.

Responsibilities

• Review investment product marketing materials for SEC and FINRA compliance.
• Review registered fund client communications and quarterly reporting.
• Perform registered fund compliance testing and monitoring.
• Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
• Assist in conducting company-wide training to meet both SEC and FINRA obligations.
• Facilitate period Fund Board materials and Board reporting.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.

Qualifications

• Bachelor's degree in a related field.
• 3-5 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, and applicable FINRA rules.
• Experience in investment management, wealth management, or fintech industry, particularly around alternative investments and understanding of compliance restrictions around registered products.
• Motivated to learn new topics and work in an evolving business environment.

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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iCapital is an office-first culture, as such all employees are required to work in the office Monday-Thursday, with the flexibility to work remotely on Friday, depending on the department. Please review the job description before applying, to identify the specified location/s for the role. *

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