Registered Funds Compliance AVP — Hybrid (Mon-Thu Office)

iCapital; Greenwich (CT); Hybrid; USD 110,000 - 145,000; Full time

Benefits offered by this job

Employer 401(k) match

Comprehensive health benefits

Dental insurance

Vision insurance

Telemedicine

Mental health counseling

Parental leave

Unlimited PTO

Job summary

iCapital seeks a Registered Funds Compliance Assistant Vice President to support its compliance program for the registered fund platform. You will focus on marketing review, regulatory oversight, compliance testing, and advising business partners under the Investment Company Act of 1940 and the Advisers Act.

The role requires 5–8 years of relevant compliance experience, with strong knowledge of the 1940 Acts.

Qualifications

• Bachelor's degree required; JD/MBA or advanced degree a plus
• 5–8 years of relevant compliance, legal, regulatory, audit, or registered fund 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 preferred
• Experience with compliance testing, fund board reporting, SEC examinations, and/or service-provider oversight
• Strong analytical, organizational, written, and verbal communication skills
• Ability to independently manage compliance responsibilities and provide practical guidance

Responsibilities

• Support compliance programs for registered investment companies, including interval and closed-end funds
• Review filings, marketing materials, and client communications
• Perform compliance monitoring and testing under applicable laws
• Monitor matters involving valuation, liquidity, custody, fees, and conflicts of interest
• Assist with regulatory risk assessments and policy updates
• Prepare reporting for fund boards and chief compliance officers
• Oversee sub-advisers, administrators, custodians, and other service providers
• Support SEC examinations and regulatory inquiries
• Track regulatory developments and implement related policies and controls

Skills

Regulatory compliance

Investment Company Act knowledge

Analytical skills

Written and verbal communication

Independent ownership of tasks

Education

Bachelor's degree

Juris Doctor or MBA (preferred)

Job description

iCapital seeks a Registered Funds Compliance Assistant Vice President to support its compliance program for the registered fund platform. You will focus on marketing review, regulatory oversight, compliance testing, and advising business partners under the Investment Company Act of 1940 and the Advisers Act.

The role requires 5–8 years of relevant compliance experience, with strong knowledge of the 1940 Acts.