Regulatory Reporting Associate – Hybrid/Remote

iCapital; Greenwich (CT); Hybrid; USD 70,000 - 95,000; Full time

Benefits offered by this job

Equity for employees

Comprehensive benefits

Remote Fridays (hybrid work)

Parental leave

Unlimited PTO

Job summary

iCapital is seeking a Regulatory Reporting Associate to join its Regulatory and Compliance team in Greenwich, CT. This role will collaborate with the VP of Regulatory Reporting and Co-Chief Compliance Officers on a range of filings and compliance matters.

You will collect data from business teams, prepare submissions like Form ADV and Form PF, develop procedures, monitor regulatory developments, and keep management informed.

Qualifications

• 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings.
• Experience with alternative investments and SEC filings for private funds.
• Ability to manage multiple deadlines and projects.
• Strong interpersonal and leadership skills.
• Willingness to learn in an evolving business environment.
• Proficiency in Excel and Word; aptitude to quickly learn additional technologies.

Responsibilities

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

Skills

Regulatory filings

Data gathering

Stakeholder management

Project management

Attention to detail

Time management

Communication skills

Tools

Microsoft Excel

Microsoft Word

Job description

iCapital is seeking a Regulatory Reporting Associate to join its Regulatory and Compliance team in Greenwich, CT. This role will collaborate with the VP of Regulatory Reporting and Co-Chief Compliance Officers on a range of filings and compliance matters.

You will collect data from business teams, prepare submissions like Form ADV and Form PF, develop procedures, monitor regulatory developments, and keep management informed.