ETF & 1940 Act Compliance Lead — Equity & Remote Fridays

icapitalnetwork; New York (NY); Hybride; USD 110 000 - 145 000; Plein temps

Avantages offerts par ce poste

Salary range

Equity

Annual bonus

Comprehensive benefits

Hybrid schedule

Résumé du poste

iCapital is seeking a Compliance Officer to support SEC-registered investment advisers, registered funds, NFA- and CFTC-registered pools, and related entities. The role involves implementing and administering compliance programs, monitoring regulatory developments, and coordinating with stakeholders to ensure adherence to governing documents and disclosures.

The ideal candidate has 6+ years in financial services compliance, with ETF/derivatives/alternative investments experience, and the ability

Qualifications

• Bachelor's degree required.
• 6+ years of compliance experience in financial services (ETFs, derivatives, alt investments).
• Experience with investment company/adviser and NFA/CFTC compliance programs.

Responsabilités

• Maintain knowledge of ETF and 1940 Act regulations and Adviser Act of 1940 and Rule 6c-11.
• Support administration of funds' compliance and governance framework.
• Monitor compliance with fund governing documents and implement regulatory changes.
• Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution.
• Assist with compliance reviews of third-party service providers (administrators, custodians, counsel, auditors).

Connaissances

Attention to detail

Cross-functional collaboration

Adaptability in fast-paced environment

Formation

Bachelor's degree

Description du poste

iCapital is seeking a Compliance Officer to support SEC-registered investment advisers, registered funds, NFA- and CFTC-registered pools, and related entities. The role involves implementing and administering compliance programs, monitoring regulatory developments, and coordinating with stakeholders to ensure adherence to governing documents and disclosures.

The ideal candidate has 6+ years in financial services compliance, with ETF/derivatives/alternative investments experience, and the ability