Hybrid ETF & 1940 Act Compliance VP — Equity & Bonus

iCapital; Greenwich (CT); Hybrid; USD 150,000 - 180,000; Full time

Benefits offered by this job

Employer matched retirement plan

Healthcare benefits

Dental and vision insurance

PTO

Parental leave

Job summary

iCapital is seeking an ETF and 1940 Act Registered Funds Compliance Officer - Vice President to oversee compliance programs for ETFs, registered funds, and investment advisers.

You will lead regulatory monitoring, review fund disclosures, advise on product structuring, and coordinate with stakeholders across Legal, Compliance, and Operations.

The role offers a base salary of $150,000-$180,000, a full benefits package, equity, bonus, and a hybrid work model with in-office Mon-Thu.

Qualifications

• Bachelor’s degree required; Law Degree or MBA preferred.
• 10+ years of compliance experience in financial services with ETFs, derivatives, alternatives.

Responsibilities

• Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds.
• Oversee administration of the Fund's compliance and governance framework.
• Advise on regulatory developments affecting ETFs and related products.
• Review fund marketing materials for consistency with disclosures and governing documents.
• Translate regulatory requirements into scalable policies and controls.
• Conduct post-trade compliance monitoring and issue resolution.

Skills

ETF compliance

Regulatory oversight

Risk assessment

Cross-functional leadership

Regulatory reporting

Securities law knowledge

Mentoring

Fast-paced environment

Attention to detail

FINRA 7/24 preferred

Education

Bachelor's degree

Tools

Job description

iCapital is seeking an ETF and 1940 Act Registered Funds Compliance Officer - Vice President to oversee compliance programs for ETFs, registered funds, and investment advisers.

You will lead regulatory monitoring, review fund disclosures, advise on product structuring, and coordinate with stakeholders across Legal, Compliance, and Operations.

The role offers a base salary of $150,000-$180,000, a full benefits package, equity, bonus, and a hybrid work model with in-office Mon-Thu.