Senior AML/KYC Compliance AVP (Remote Fridays)

Icapitalnetwork; New York (NY); Hybrid; USD 110,000 - 145,000; Full time

Benefits offered by this job

Equity for all full-time employees

Annual performance bonus

Employer matched retirement plan

Healthcare package

Dental,Vision, Telemedicine

Mental health counseling

Parental leave

Unlimited PTO

Job summary

iCapital is seeking a Compliance Assistant Vice President to join its Regulatory and Compliance team in New York. You will lead the review and approval process for investor AML and KYC with a strong private fund focus, collaborating across business lines and supporting audits.

The role requires 5+ years in alternatives with broker dealer and registered investment adviser exposure, and familiarity with AML/KYC regulatory regimes. ACAMS preferred; JD a plus.

Qualifications

• 5+ years of alternatives experience, preferably with both broker dealer and registered investment adviser experience
• Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands AML regulations
• AML and KYC knowledge of regulatory requirements for private fund investors
• Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck, ComplyAdvantage)
• Excellent verbal communication skills with the ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• ACAMS certification is preferred
• JD is a plus

Responsibilities

• Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
• Perform third party reliance testing and monitoring.
• Collaborate across various business lines on new initiatives, providing compliance guidance.
• Conduct AML screening review and dispositions.
• Assist in preparing for and responding to inquiries and audits.

Job description

iCapital is seeking a Compliance Assistant Vice President to join its Regulatory and Compliance team in New York. You will lead the review and approval process for investor AML and KYC with a strong private fund focus, collaborating across business lines and supporting audits.

The role requires 5+ years in alternatives with broker dealer and registered investment adviser exposure, and familiarity with AML/KYC regulatory regimes. ACAMS preferred; JD a plus.