Compliance, Registered Funds - Vice President

iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $214 billion in global client assets invested in 1,731 funds, as of December 2024.

iCapital has been named to the Forbes Fintech 50 for seven consecutive years (2018-2024); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a four-time winner of MMI/Barron’s Solutions Provider award (See link below). 

About the Role

iCapital is seeking a Vice president to lead its Compliance marketing program for funds registered under the Investment Company Act and to provide support to its growing 1940 Act funds’ business. 

Responsibilities will include working with the Business and Compliance teams to develop, review, and approve marketing materials and client communications for iCapital’s registered funds.  Marketing of these funds may be done by iCapital’s registered investment advisers, or its affiliated broker-dealer and the candidate must have experience with relevant SEC and FINRA rules, including the SEC’s Marketing Rule and FINRA Rule 2210.  In addition, this individual will have hands-on involvement with overall administration of the Compliance team’s registered fund compliance program, including establishing and updating policies and procedures and monitoring and testing of such program.

Responsibilities

• Oversee, manage, and prioritize the compliance review of registered fund marketing materials, client communications, and other materials for SEC and FINRA compliance.
• Establish and implement processes and procedures that facilitate compliance testing and monitoring for marketing related materials and other registered fund compliance initiatives.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Maintain and update 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.

Qualifications

• 8+ years of experience including experience with SEC and FINRA requirements for marketing registered funds
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC Marketing Rule, and FINRA 2210 regulations
• Experience with registered products and alternative investments
• Excellent presentation, communication, and interpersonal skills
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Series 24 is required
• JD is a plus

Benefits

The base salary range for this role is $155,000 to $180,000.  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.