Regulatory Reporting - Vice President

iCapital; New York (NY); Hybrid; USD 150,000 - 175,000; Full time

Benefits offered by this job

Employer matched retirement plan

Generously subsidized healthcare

Vision

Telemedicine

Mental health counseling

Job summary

iCapital is seeking a Vice President of Regulatory Reporting to lead the regulatory reporting function within Regulatory and Compliance. The role partners with Senior VPs and Co-CCOs of RIAs on a range of compliance matters focusing on regulatory filings.

The candidate will oversee Form D, blue-sky notices, Form ADV, Form PF, and other 34 Act filings, ensuring timely and accurate submissions while monitoring regulatory developments and providing leadership across the team.

Qualifications

• Bachelor's degree in a related field.
• 8+ years of experience focused on private funds and RIAs.
• Strong knowledge of Form ADV, Form PF, Form D and 34 Act filings.
• Excellent written and verbal communication skills.
• Ability to thrive in a fast-paced environment with a learning mindset.
• Experience with SEC, FINRA and NFA regulatory examinations/interactions.

Responsibilities

• Oversee preparation of regulatory filings (Form D, blue-sky notices, Form ADV, Form PF, 34 Act filings, BE-185, international filings).
• Advise on regulatory developments affecting filings of RIAs.
• Own the end-to-end process of regulatory reporting and provide compliance leadership.
• Assist with other compliance matters as needed.
• Develop and implement compliance functions and tests.
• Leverage firm technology for internal and external reporting.

Skills

Regulatory reporting

Project management

Communication skills

Risk assessment

Mentoring

Stakeholder liaison

Detail orientation

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.

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