Broker Dealer Compliance - Associate

Job Description

iCapital is seeking a Compliance Associate to join its Regulatory and Compliance group, focusing on broker-dealer compliance. The candidate will be responsible for overseeing employee-related compliance matters, assisting with policy updates, and supporting various compliance tasks.Responsibilities include:

• Collaborating on marketing initiatives, providing compliance guidance.
• Maintaining and updating policies and procedures.
• Developing and conducting company-wide training.
• Preparing for and responding to regulatory inquiries and audits.

Qualifications include:

• 2-5 years of experience, preferably with broker-dealer experience.
• Strong knowledge of FINRA rules.
• Excellent communication skills.
• Ability to thrive in a fast-paced environment.
• Robust project management skills.
• JD a plus, but not required.

iCapital offers:

• A base salary range of $90,000 to $115,000.
• Equity for all full-time employees.
• An annual performance bonus.
• Comprehensive benefits package including retirement plan, healthcare, dental, vision, telemedicine, mental health counseling, parental leave, and unlimited PTO.
• Hybrid work schedule (Monday-Thursday in office, remote on Friday).