Regulatory Reporting VP — RIAs & Private Funds

iCapital; New York (NY); Hybride; USD 150 000 - 175 000; Plein temps

Avantages offerts par ce poste

Employer matched retirement plan

Generously subsidized healthcare

Vision

Telemedicine

Mental health counseling

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

Regulatory reporting

Project management

Communication skills

Risk assessment

Mentoring

Stakeholder liaison

Detail orientation

Formation

Bachelor's degree in a related field

Description du poste

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.