ETF & 1940 Act Funds Compliance Lead (Hybrid + Equity)

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

Benefits offered by this job

Equity

Performance bonus

Retirement match

Healthcare package

Parental leave

Unlimited PTO

Job summary

iCapital is seeking a Compliance Officer to support ETF, Fund-of-Funds, and 1940 Act funds. You will implement and administer compliance programs for SEC-registered advisers, funds, and commodity pools, monitor regulatory developments, and review marketing materials for compliance with disclosures and policies.

The role requires 6+ years in financial services compliance, with ETF and derivatives experience, and strong collaboration across functions in a fast-paced environment.

Qualifications

• Bachelor's degree required.
• 6+ years of compliance experience in financial services.
• Experience with ETFs, derivatives, alt investments, and applicable regulatory landscape.
• Experience supporting investment company, investment adviser, and NFA/CFTC compliance programs.
• Experience supporting regulatory examinations/investigations with SEC, FINRA, or NFA.
• Experience evaluating risk and mapping risks and controls across business practices.
• Ability to collaborate with colleagues across functions and levels.
• Able to operate in a fast-paced environment.
• Detail-oriented with ability to prioritize multiple projects.

Responsibilities

• Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and advisers.
• Support administration of funds' compliance and governance framework.
• Assist in monitoring compliance with fund governing documents.
• Monitor regulatory developments affecting ETFs and assess impact.
• Support ETF and Registered Funds initiatives by identifying regulatory risks and solutions.
• Review fund marketing materials for compliance with disclosures and policies.
• Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution.
• Support trading oversight frameworks including best execution governance.
• Perform compliance testing, reporting, and remediation tracking.
• Assist with compliance reviews of third-party service providers.

Skills

Bachelor's degree required

6+ years compliance experience

ETF experience

Derivatives experience

Alternative investments

Regulatory landscape knowledge

SEC/FINRA/NFA interactions

Risk mapping & controls

Cross-functional collaboration

Fast-paced environment

Detail-oriented

Education

Bachelor's degree

Job description

iCapital is seeking a Compliance Officer to support ETF, Fund-of-Funds, and 1940 Act funds. You will implement and administer compliance programs for SEC-registered advisers, funds, and commodity pools, monitor regulatory developments, and review marketing materials for compliance with disclosures and policies.

The role requires 6+ years in financial services compliance, with ETF and derivatives experience, and strong collaboration across functions in a fast-paced environment.