Regulatory and Compliance - Associate

iCapital; New York (NY); Hybrid; USD 70,000 - 95,000; Full time

Benefits offered by this job

Equity for full-time employees

Health benefits

Dental and vision insurance

Telemedicine

Parental leave

Unlimited PTO

Job summary

iCapital is seeking a Regulatory Reporting Associate to join the Regulatory and Compliance team in New York. This role supports regulatory reporting efforts, including gathering data for Form ADV, Form PF, and other filings, and collaborates with senior management to address regulatory developments.

Strong organization, deadline management, and Excel/Word skills are essential. The position involves office presence Monday-Thursday with Friday remote flexibility, and offers a comprehensive

Qualifications

• 2-5 years of registered investment adviser experience
• Experience with alternative investments and SEC filings for private funds
• Ability to lead discussions with senior internal and external stakeholders
• Able to manage multiple deadlines and projects
• Organized and detail oriented with big picture capability
• Strong interpersonal and leadership skills
• Willingness to learn new topics in an evolving business environment
• Proficiency in Microsoft Excel and Microsoft Word

Responsibilities

• Liaise with business teams to collect and aggregate data for regulatory filings
• Prepare submissions for Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D/blue-sky
• Develop, update, and implement procedures to ensure robust filing processes
• Monitor regulatory developments and discuss impacts with senior management
• Inform senior management of material regulatory or operational changes
• Collaborate with stakeholders to improve data quality and efficiency
• Assist with ad-hoc compliance-related matters

Skills

Stakeholder management

Deadline management

Attention to detail

Willingness to learn

Interpersonal skills

Tools

Microsoft Excel

Microsoft Word

Job description

About the Role

iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Responsibilities

• Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
• Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
• Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.
• Inform senior management of any material regulatory or operational changes.
• Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.
• Assist with ad-hoc compliance-related matters.

Qualifications

• 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
• Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
• Comfortable leading discussions and initiatives with senior internal and external stakeholders
• Able to manage multiple deadlines and projects
• Organized and detailed oriented with big picture capability
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies

Benefits

The base salary range for this role is $ 70,000 to $ 95,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Aff… employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.