Compliance, Regulatory Reporting - Associate

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 $194 billion in global client assets invested in 1,605 funds, as of July 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 three-time winner of MMI/Barron’s Solutions Provider award (See link below). 

About the Role

iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team.  This position will work closely with the Assistant Vice President of Regulatory Reporting and the Chief Compliance Officer Advisers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Responsibilities

• Lead the preparation and submission of U.S. and international regulatory filings including, but not limited to, Regulation D/blue sky notices, Form ADV, Form PF, BE-185, Form 45-106F1, and AIFMD – Annex IV.
• Work with relevant business teams to collect, aggregate, and compile required data by leveraging technology to assist with both internal and external reporting.
• Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
• Monitor industry-wide compliance initiatives as well as federal, state, and non-U.S. Regulatory developments, conduct analyses on how such developments impact our activities and reporting requirements, and discuss such changes with senior management.
• Collaborate with internal and external stakeholders on potential solutions, efficiencies and scalability, to reporting challenges.
• Assist on other compliance-related matters as needed on an ad-hoc basis.

Qualifications

• 3-6 years of registered investment adviser experience, preferably in preparing regulatory filings
• Experience with alternative investments and understanding of compliance restrictions around private placements and registered products, including SEC filings for private funds
• Able to manage multiple deadlines and projects
• Organized and detailed oriented with big picture capability
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Proficient in Microsoft Excel and Word

Benefits

The base salary range for this role is $90,000 to $115,000.  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.