ETF & 1940 Act Funds Compliance AVP — Hybrid/Remote

iCapital; Greenwich (CT); Hybrid; USD 110,000 - 145,000; Full time

Benefits offered by this job

Employer-matched retirement plan

Subsidized healthcare with 100% dental

Vision care

Telemedicine

Mental health counseling

Parental leave

Unlimited PTO

Job summary

iCapital is seeking an ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President to support compliance programs for ETF advisers, registered funds, and related entities. The role involves regulatory monitoring, governance support, and exam readiness in a fast-paced environment.

The position is based in Stamford, CT with a hybrid work model and a competitive package including salary, equity, and an annual bonus.

Qualifications

• Bachelor’s degree required, 6+ years of compliance experience in financial services.
• Experience with ETFs, derivatives, alternative investments, and the regulatory landscape.
• Experience supporting SEC, FINRA, or NFA interactions and examinations.
• Ability to map risks and controls across business practices and guide colleagues.

Responsibilities

• Maintain working knowledge of ETFs and 1940 Act funds regulations.
• Support administration of funds’ compliance and governance framework.
• Monitor compliance with fund governing documents.
• Review fund marketing materials for regulatory consistency and approvals.
• Conduct post-trade compliance monitoring and testing.
• Assist with third-party service provider reviews and due diligence.

Skills

Regulatory knowledge

Attention to detail

Cross-functional collaboration

Fast-paced work style

Education

Bachelor’s degree

Job description

iCapital is seeking an ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President to support compliance programs for ETF advisers, registered funds, and related entities. The role involves regulatory monitoring, governance support, and exam readiness in a fast-paced environment.

The position is based in Stamford, CT with a hybrid work model and a competitive package including salary, equity, and an annual bonus.