Regulatory and Compliance - Assistant Vice President

United States·Salt Lake City,New Yorkexecutive

Legal & ComplianceOtherComplianceAssistant Vice President

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Quick Summary

Overview

About the Role iCapital is seeking an Assistant Vice President to join the Regulatory and Compliance team. This role will assist with a variety of international offerings activities,

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Legal & ComplianceOtherComplianceAssistant Vice President

About the Role

~1 min read

iCapital is seeking an Assistant Vice President to join the Regulatory and Compliance team. This role will assist with a variety of international offerings activities, both at the firm level and for investment vehicles as well as conduct compliance marketing materials review on a wide variety of communications.

The ideal candidate is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent communication skills.

Responsibilities

~1 min read

→Ensure communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules.
→Conduct compliance monitoring programs relating to marketing materials, including updates to disclosure language.
→Coordinate with external counsel to obtain and incorporate regulatory guidance for marketing materials.
→Assist in maintaining and overseeing the compliance program for a registered investment adviser.
→Update and enhance policies and procedures and support ongoing compliance training initiatives.
→Support the preparation for, and response to, regulatory inquiries, examinations, and audits.
→Contribute to additional Regulatory and Compliance initiatives and ad hoc projects, as needed.

Requirements

~1 min read

Bachelor's degree, J.D. or equivalent is a plus
5+ years of experience, preferably with registered investment advisor experience
Proficient in Microsoft Office Suite (Word, PowerPoint, Excel)
Excellent verbal communication and presentation skills

What We Offer

~1 min read

The base salary range for this role is $110,000 to $140,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes 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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.