Regulatory Reporting AVP — IAS & Registered Funds

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

Benefits offered by this job

Salary plus equity for all full-time

Annual performance bonus

Employer matched retirement plan

Healthcare including 100% employer pay

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 the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on U.S. and international filings.

Responsibilities include collecting data for forms (ADV, PF, BE-185, SLT, 45-106F1, Regulation D/blue-sky), developing procedures, monitoring regulatory developments, and advising senior management. Hybrid work with office presence Mon-Thu, remote Fri.

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.
• Ability to lead discussions with senior internal and external stakeholders.
• Strong organizational and time-management skills with the ability to manage multiple deadlines.

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 to ensure robust processes for regulatory filings.
• Monitor and analyze industry-wide regulatory developments and inform senior management of material changes.
• Collaborate with internal and external stakeholders to improve data quality, processes, and efficiency.
• Assist with ad-hoc compliance-related matters.

Skills

Regulatory reporting

Stakeholder communication

Attention to detail

Project management

Excel proficiency

Tools

Microsoft Excel

Microsoft Word

Job description

iCapital is seeking a Regulatory Reporting Associate to join the Regulatory and Compliance team in New York. This role supports the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on U.S. and international filings.

Responsibilities include collecting data for forms (ADV, PF, BE-185, SLT, 45-106F1, Regulation D/blue-sky), developing procedures, monitoring regulatory developments, and advising senior management. Hybrid work with office presence Mon-Thu, remote Fri.