ETF & 1940 Act Compliance AVP — Funds

iCapital; New York (NY); Hybrid; USD 110,000 - 145,000; Full time

Benefits offered by this job

Equity for all full-time employees

Annual performance bonus

Comprehensive benefits package

Employer matched retirement plan

Healthcare (100% employer paid)

Unlimited paid time off (PTO)

Parental leave

Job summary

iCapital is hiring an ETF and 1940 Act Registered Funds Compliance Officer at a senior Associate Vice President level in New York. You will support compliance programs for SEC-registered advisers and funds, monitoring regulatory developments and ensuring governance across ETF and registered funds products.

The role emphasizes collaboration across functions, post-trade monitoring, and third-party reviews, with a competitive compensation package and benefits.

Qualifications

• Bachelor’s degree is required.
• 6+ years of compliance experience in financial services, including ETFs, derivatives, and alt investments.
• Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs.
• Experience supporting regulatory examinations or interactions with the SEC, FINRA, or NFA.
• Experience evaluating risk and mapping risks and controls across business practices.
• Able to collaborate with colleagues across functions and levels.
• Able to operate effectively in a fast-paced environment.

Responsibilities

• Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their advisers.
• Support the administration of the funds’ compliance and governance framework.
• Assist in monitoring compliance with fund governing documents.
• Monitor regulatory developments affecting ETFs and assess their impact.
• Support ETF and Registered Funds initiatives by identifying regulatory risks and developing solutions.
• Review fund marketing materials for consistency with disclosures and internal policies.
• Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution.
• Assist with compliance reviews of third-party service providers.

Skills

ETF/1940 Act regulatory knowledge

Detail-oriented

Collaboration across functions

Regulatory interactions experience

Education

Bachelor’s degree

Job description

iCapital is hiring an ETF and 1940 Act Registered Funds Compliance Officer at a senior Associate Vice President level in New York. You will support compliance programs for SEC-registered advisers and funds, monitoring regulatory developments and ensuring governance across ETF and registered funds products.

The role emphasizes collaboration across functions, post-trade monitoring, and third-party reviews, with a competitive compensation package and benefits.