ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President

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

About the Role

iCapital is looking to hire a Compliance Officer to support the relevant investment advisers serving the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This individual will assist with the implementation and administration of compliance programs for the firm's SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities involving these products or entities.

Responsibilities

• Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c‑11.
• Support the administration of the funds' compliance and governance framework.
• Assist in monitoring compliance with fund governing documents.
• Monitor regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking, and assist in assessing their impact.
• Support ETF and Registered Funds initiatives by identifying regulatory risks, escalating issues, and helping develop practical solutions.
• Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders.
• Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution.
• Support trading oversight frameworks, including best execution governance and related compliance practices.
• Perform compliance testing, reporting, and remediation tracking to support timely resolution of issues.
• Assist with compliance reviews of third-party service providers, including administrators, custodians, legal counsel, and auditors.

Qualifications

• Bachelor's degree is required
• 6+ years of compliance experience in the financial services industry, including experience with exchange-traded funds, derivatives, alternative investments, and the applicable regulatory landscape
• Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements
• Experience supporting regulatory examinations, investigations, or other interactions with the SEC, FINRA, or NFA
• Experience evaluating risk and mapping risks and controls across business practices
• Able to collaborate with and provide guidance to colleagues across functions and levels
• Able to operate effectively in a fast-paced environment
• Detail-oriented, with the ability to assess and prioritize multiple projects

Benefits

The base salary range for this role is $110,000 to $145,000. 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.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affimstanive 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.