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Job Description
iCapital is seeking a Compliance Associate to join its Regulatory and Compliance group, focusing on broker-dealer compliance. This role involves overseeing employee-related compliance matters and assisting with various compliance tasks. The candidate will collaborate across business lines, maintain policies, and assist in regulatory inquiries.
Responsibilities:
- Collaborate across various business lines on new marketing initiatives, providing compliance guidance
- Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives
- Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations
- Assist in preparing for and responding to inquiries and audits from regulatory authorities
Requirements:
- 2-5 years of experience, preferably with broker dealer experience
- Strong knowledge of the FINRA rules
- Excellent verbal communication skills and strong ability for personal interaction
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Robust project management and process development skills
- JD a plus, but not required
iCapital offers:
- Equity for all full-time employees
- Annual performance bonus
- Employer matched retirement plan
- Generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
- Parental leave
- Unlimited paid time off (PTO)
Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
