VP, ETF & 1940 Act Funds Compliance

iCapital; New York (NY); Hybrid; USD 150,000 - 180,000; Full time

Benefits offered by this job

Equity

Annual bonus

Retirement plan

100% employer paid dental

Vision

Telemedicine

Mental health support

Parental leave

Unlimited PTO

Job summary

iCapital seeks a Vice President Compliance Officer to oversee ETF and 1940 Act registered funds compliance. The role entails governance, regulatory liaison, and policy translation across the firm’s advisory and fund structures.

You will lead examinations, monitoring, and filings, partnering with Product, Portfolio Management and Operations to ensure robust compliance programs and effective risk controls.

Qualifications

• Bachelor’s degree required; professional regulatory credentials preferred
• 10+ years of compliance experience in financial services including ETFs and 1940 Act funds
• Experience with Rule 38a-1 and Rule 206(4)-7 favorable

Responsibilities

• Maintain expert knowledge of ETFs and 1940 Act funds and their advisers
• Oversee administration of fund compliance and governance
• Monitor compliance with fund governing documents
• Advise on regulatory developments affecting ETFs and fund products
• Provide leadership and support for ETF and Registered Funds initiatives
• Review marketing materials for consistency with disclosures and policies
• Translate regulatory requirements into scalable policies and controls
• Oversee product-specific compliance obligations and regulatory filings
• Conduct post-trade compliance monitoring and testing
• Coordinate reviews of third-party service providers

Skills

ETF compliance

Regulatory oversight

Team mentoring

Attention to detail

Fast-paced environment

Education

Bachelor’s degree

Law Degree or MBA preferred

Tools

FINRA Series 7

FINRA Series 24

SEC/NFA/CFTC regulations

Job description

iCapital seeks a Vice President Compliance Officer to oversee ETF and 1940 Act registered funds compliance. The role entails governance, regulatory liaison, and policy translation across the firm’s advisory and fund structures.

You will lead examinations, monitoring, and filings, partnering with Product, Portfolio Management and Operations to ensure robust compliance programs and effective risk controls.