Registered Funds Compliance Associate
iCapital Network, Inc.
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Job summary
iCapital Network, Inc. is seeking a Compliance Officer for the IAS / Registered Funds program. The Associate will support regulatory oversight, compliance testing, and marketing review, advising business partners on Investment Company Act and Investment Advisers Act matters.
The role collaborates with Legal, Marketing, Fund Management, Investments, Finance, and Product to ensure robust controls. The position offers a base salary within the stated range and a comprehensive benefits package, with
Qualifications
- Bachelor's degree required; advanced degrees a plus (JD/MBA).
- 2–4 years of compliance, regulatory, or financial services experience.
- Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1.
- Familiar with the Investment Advisers Act compliance requirements.
- Experience with registered funds, interval funds, or private-market strategies preferred.
- Experience with compliance testing and SEC examinations preferred.
Responsibilities
- Support compliance programs for registered investment companies.
- Review filings, marketing materials, and client communications.
- Perform monitoring and testing under Sec. 206(4)-7 and Advisers/Investment Company Acts.
- Assist with regulatory risk assessments and policy updates.
- Oversee service providers and assist with SEC examinations.
Skills
Education
Job description
iCapital Network, Inc. is seeking a Compliance Officer for the IAS / Registered Funds program. The Associate will support regulatory oversight, compliance testing, and marketing review, advising business partners on Investment Company Act and Investment Advisers Act matters.
The role collaborates with Legal, Marketing, Fund Management, Investments, Finance, and Product to ensure robust controls. The position offers a base salary within the stated range and a comprehensive benefits package, with
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