Compliance & Marketing - Assistant Vice President / Vice President

Job Description

iCapital is seeking a Compliance Assistant Vice President or Vice President to join its Regulatory and Compliance team. This role involves leading the review and approval process for marketing materials created by iCapital's investment advisers and broker-dealer, with a strong focus on private funds.Responsibilities include:

• Reviewing marketing materials, client communications, diligence reports, research, and quarterly reporting for SEC and FINRA compliance.
• Performing compliance testing and monitoring for marketing-related materials.
• Collaborating across various business lines on new marketing initiatives, providing compliance guidance.
• Maintaining and updating policies and procedures based on new regulatory developments and business initiatives.
• Supporting the development and delivery of company-wide training to meet SEC and FINRA obligations.
• Facilitating the preparation for inquiries and audits from regulatory authorities.

Qualifications include:

• 3-7 years of experience, preferably with broker-dealer and registered investment advisor experience.
• Strong knowledge of Rule 206(4)-1 of the Investment Advisers Act of 1940 and FINRA regulations on marketing.
• Experience with alternative investments, primarily private funds, and an understanding of compliance restrictions around private placements and registered products.
• Excellent verbal communication skills and strong ability for personal interaction.
• Ability to thrive 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.

iCapital offers:

• A base salary range of $120,000 to $175,000.
• Equity for all full-time employees and an annual performance bonus.
• A comprehensive benefits package including an employer-matched retirement plan.
• Generously subsidized healthcare with 100% employer-paid dental, vision, telemedicine, and virtual mental health counseling.
• Parental leave and unlimited paid time off (PTO).
• Hybrid work schedule: Monday-Thursday in the office, with the flexibility to work remotely on Friday.