Registered Funds Compliance Pro (Hybrid/Remote Fridays)

iCapital; New York (NY); On-site; USD 90,000 - 115,000; Full time

Benefits offered by this job

Equity for all full-time employees

Annual performance bonus

Employer matched retirement plan

Healthcare benefits (100% employer for

PTO

Job summary

iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role focuses on regulatory oversight, compliance testing, marketing review, and advising business partners under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering with Legal, Marketing, Fund Management,

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

Compliance testing

Regulatory reporting

Education

Bachelor's degree

Advanced degree (JD/MBA)

Job description

iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role focuses on regulatory oversight, compliance testing, marketing review, and advising business partners under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering with Legal, Marketing, Fund Management,