VP, Regulatory Reporting — Flexible/Remote Fridays + Equity

iCapital; Greenwich (CT); Hybrid; USD 150,000 - 175,000; Full time

Benefits offered by this job

Employer matched retirement plan

Generous healthcare with employer-paid

Vision insurance

Telemedicine

Mental health counseling

Parental leave

Unlimited PTO

Job summary

iCapital seeks a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. You will work with Senior VPs and Co-Chief Compliance Officers on regulatory reporting matters for RIAs and private funds.

Lead the end-to-end regulatory filings, advise on developments, and drive compliance initiatives. The role requires 8+ years in private funds/RIAs with strong knowledge of Form ADV, Form PF, Form D, and blue-sky filings.

Qualifications

• Bachelor's degree in a related field.
• 8+ years of experience focusing on private funds and RIAs.
• Strong knowledge of Form ADV, Form PF, Form D, blue-sky filings, and 34 Act filings.

Responsibilities

• Oversee preparation of regulatory filings (Form D, blue-sky, Form ADV, Form PF, 34 Act, BE-185, and international filings).
• Advise on regulatory developments affecting filings of RIAs.
• Own end-to-end process of regulatory reporting and provide compliance leadership.
• Develop and implement various compliance functions and tests.
• Monitor regulatory developments and conduct analyses on their impact.

Skills

Regulatory reporting

SEC / FINRA / NFA

Project management

Attention to detail

Communication skills

Education

Bachelor's degree in a related field

Job description

iCapital seeks a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. You will work with Senior VPs and Co-Chief Compliance Officers on regulatory reporting matters for RIAs and private funds.

Lead the end-to-end regulatory filings, advise on developments, and drive compliance initiatives. The role requires 8+ years in private funds/RIAs with strong knowledge of Form ADV, Form PF, Form D, and blue-sky filings.