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

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

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

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

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.

• an employer matched retirement plan
• generously subsidized healthcare with 100% employer paid dental
• vision
• telemedicine
• virtual mental health counseling
• parental leave
• 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 ... 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.

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