Registered Funds Compliance Associate — Hybrid/Remote

iCapital Network, Inc.; Salt Lake City (UT); Hybrid; USD 70,000 - 85,000; Full time

Benefits offered by this job

Equity

Annual bonus

Retirement plan

Healthcare benefits

Dental

Vision

Telemedicine

Mental health

Parental leave

Unlimited PTO

Job summary

iCapital Network, Inc. seeks a Compliance Officer, IAS / Registered Funds - Associate in Salt Lake City, Utah to support the registered funds program.

You will help oversee regulatory matters under the Investment Company Act of 1940 and Advisers Act, performing testing and reviewing marketing materials. You will collaborate with Legal, Marketing, Fund Management, Investments, Finance, and Product to translate complex regulations into practical controls, and support SEC examinations and provider

Qualifications

• Bachelor’s degree is required; JD, MBA, or other advanced degree is a plus
• 2–4 years of relevant compliance, legal, regulatory, audit, 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
• Experience with registered closed-end funds, interval funds, alternative investments, or private-market strategies is preferred
• Experience with compliance testing, SEC examinations, and/or service-provider oversight is preferred

Responsibilities

• Support the administration and enhancement of 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 applicable requirements under the Advisers Act and Investment Company 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 key fund service providers.
• Support SEC examinations and regulatory inquiries, including document production and preparation of responses.

Skills

Regulatory compliance

SEC examinations

Oversight of service providers

Written communication

Analytical skills

Attention to detail

Education

Bachelor’s degree

JD/MBA or advanced degree

Job description

iCapital Network, Inc. seeks a Compliance Officer, IAS / Registered Funds - Associate in Salt Lake City, Utah to support the registered funds program.

You will help oversee regulatory matters under the Investment Company Act of 1940 and Advisers Act, performing testing and reviewing marketing materials. You will collaborate with Legal, Marketing, Fund Management, Investments, Finance, and Product to translate complex regulations into practical controls, and support SEC examinations and provider