Regulatory Reporting - Vice President

iCapital; Greenwich (CT); Hybrid; USD 150,000 - 175,000; Full time

Benefits offered by this job

Employer matched retirement plan

Generous healthcare with employer-paid

Vision insurance

Telemedicine

Mental health counseling

Parental leave

Unlimited PTO

Job summary

iCapital seeks a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. You will work with Senior VPs and Co-Chief Compliance Officers on regulatory reporting matters for RIAs and private funds.

Lead the end-to-end regulatory filings, advise on developments, and drive compliance initiatives. The role requires 8+ years in private funds/RIAs with strong knowledge of Form ADV, Form PF, Form D, and blue-sky filings.

Qualifications

• Bachelor's degree in a related field.
• 8+ years of experience focusing on private funds and RIAs.
• Strong knowledge of Form ADV, Form PF, Form D, blue-sky filings, and 34 Act filings.

Responsibilities

• Oversee preparation of regulatory filings (Form D, blue-sky, Form ADV, Form PF, 34 Act, BE-185, and international filings).
• Advise on regulatory developments affecting filings of RIAs.
• Own end-to-end process of regulatory reporting and provide compliance leadership.
• Develop and implement various compliance functions and tests.
• Monitor regulatory developments and conduct analyses on their impact.

Skills

Regulatory reporting

SEC / FINRA / NFA

Project management

Attention to detail

Communication skills

Education

Bachelor's degree in a related field

Job description

iCapital is looking to hire a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. This position will work closely with the Senior Vice Presidents and Co-Chief Compliance Officers of the Registered Investment Advisers (RIAs) on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Responsibilities

• Oversee the preparation of regulatory filings including, but not limited to, Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky.
• Advise on regulatory developments affecting regulatory filings of RIAs.
• Provide compliance leadership and own the end-to-end process of regulatory reporting.
• Assist with other compliance-related matters as needed.
• Develop and implement various compliance functions and tests.
• Leverage firm technology to assist in both internal and external reporting.
• Develop new procedures and amend existing ones as needed.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses on how such developments impact our activities.
• Recommend solutions to resolve regulatory challenges.
• Liaise with other internal and external stakeholders.

Qualifications

• Bachelor's degree in a related field
• 8+ years of experience, primarily focused on private funds and registered investment advisers
• Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue‑sky) and reports required under the 1934 Act
• Excellent written and verbal communication skills
• Able to thrive in a fast-paced environment with a continuous learning mindset
• Self‑motivated with robust project management and process development skills
• Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
• Experience evaluating risk and mapping risk and controls across firm practices
• Skilled at developing other team members through mentoring or helping upskill
• Detail oriented with and able to assess and prioritize projects

The base salary range for this role is $150,000 to $175,000. iCapital offers a compensation package which includes salary, equity for all full‑time employees, and an annual performance bonus.

Benefits

• Employer matched retirement plan
• Generously subsidized healthcare with 100% employer paid dental
• Vision
• Telemedicine
• Virtual mental health counseling
• Parental leave
• 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.

iCapital is proud to be an Equal Employment Opportunity and affirmative action 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.

Des Moines, IA

Miami, FL

New York, NY

Princeton, NJ

Salt Lake City, UT

Stamford, CT

This only applies to U.S. based roles.