VP of Investor Onboarding & Regulatory Review

iCapital; Greenwich (CT); Hybrid; USD 155,000 - 185,000; Full time

Benefits offered by this job

Equity for all employees included

Annual performance bonus

Employer matched retirement plan

Comprehensive health benefits

Parental leave and generous PTO

Job summary

iCapital is seeking an executive to join its Regulatory and Compliance team as VP of Investor Onboarding and Regulatory Review. You will oversee review of investor subscription materials for private and registered funds, ensuring compliance with the Investment Company Act, Securities Act, and FINRA rules.

You will lead the Subscription Document Review team, manage client engagements, and coordinate with fund sponsors and law firms.

Qualifications

• 8-15+ years of alternatives experience, preferably with private funds and registered investment advisor experience.
• Experience in fund structuring and formation, reviewing governing documents for funds.
• Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
• AML/KYC knowledge of regulatory requirements for private fund investors is a plus but not required.
• Excellent verbal communication skills and strong ability for personal interaction.
• Professionalism both client-facing and internally.
• Thrives in a fast-paced environment with a continuous learning mindset.
• Self-motivated with robust project management and process development skills.
• JD a plus, but not required.

Responsibilities

• Lead the Subscription Document Review team.
• Manage client engagements and relationships.
• Review, track, and maintain investor subscription materials and related documentation.
• Create and maintain client and investor reporting tracking subscriptions, deadlines, and data.
• Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
• Communicate with investment relation teams on ongoing fundraises and investor issues.
• Provide deficiency comments for investor subscription materials.

Skills

Regulatory compliance

Investment funds experience

Communication skills

Project management

Leadership/team management

Legal knowledge

JD a plus

Client-facing

Education

Law degree (JD)

Job description

iCapital is seeking an executive to join its Regulatory and Compliance team as VP of Investor Onboarding and Regulatory Review. You will oversee review of investor subscription materials for private and registered funds, ensuring compliance with the Investment Company Act, Securities Act, and FINRA rules.

You will lead the Subscription Document Review team, manage client engagements, and coordinate with fund sponsors and law firms.