Funds Compliance Associate - Registered Funds

iCapital Network, Inc.; New York (NY); Hybrid; USD 90,000 - 115,000; Full time

Benefits offered by this job

Equity

Annual performance bonus

Health, dental, vision, telemedicine,

Mental health counseling

Parental leave

Unlimited PTO

Job summary

iCapital Network, Inc. is seeking a Compliance Officer for IAS / Registered Funds in New York. The role focuses on regulatory oversight, compliance testing, marketing review, and advising on issues under the 1940 Acts.

The ideal candidate has hands-on registered funds compliance experience and can partner with Legal, Marketing, Fund Management, Investments, Finance, and Product. The base salary range is $90,000 to $115,000 with equity, annual bonus, and a comprehensive benefits package including

Qualifications

• Bachelor's degree required; advanced degrees preferred.
• 2–4 years of related compliance or financial services experience.
• Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1.
• Familiar with the Investment Advisers Act and adviser compliance requirements.

Responsibilities

• Support compliance programs for registered investment companies including interval and closed-end funds.
• Review registered fund filings, marketing materials, and client communications.
• Perform compliance monitoring and testing under Sec. 206(4)-7 and Advisers Act.
• Assist with regulatory risk assessments and updates to compliance policies and procedures.
• Assist with oversight of sub-advisers, administrators, custodians, transfer agents, distributors, and other fund service providers.
• Support SEC examinations and regulatory inquiries, including document production and preparation of responses.

Skills

Regulatory compliance

Analytical skills

Written/verbal communication

Risk assessment

Regulatory reporting

Education

Bachelor's degree

JD or MBA preferred

Job description

iCapital Network, Inc. is seeking a Compliance Officer for IAS / Registered Funds in New York. The role focuses on regulatory oversight, compliance testing, marketing review, and advising on issues under the 1940 Acts.

The ideal candidate has hands-on registered funds compliance experience and can partner with Legal, Marketing, Fund Management, Investments, Finance, and Product. The base salary range is $90,000 to $115,000 with equity, annual bonus, and a comprehensive benefits package including