Broker Dealer Compliance - Assistant Vice President / Vice President.

iCapital is powering the worlds alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, & banks evaluate & recommend bespoke public & private market strategies for their high-net-worth clients.

iCapital services approximately $180 billion in global client assets invested in 1,441 funds, as of February 2024.

iCapital has been named to the Forbes Fintech 50 for seven consecutive years (2018-2023); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023);

a three-time winner of MMI / Barrons Solutions Provider award (See link below).

About the Role

iCapital is looking for an Assistant Vice President or Vice President candidate to join its Regulatory & Compliance team & focus on Marketing.

Responsibilities will include leading a team in reviewing all marketing materials & client communications generated by iCapitals FINRA registered broker dealer subsidiary & SEC registered investment advisors.

This individual will be responsible for ensuring compliance with all communications & advertising rules, working with the Distribution & Marketing teams & generally assisting the Legal & Compliance team with various compliance focused tasks, including updates to policies & procedures & monitoring & testing.

Responsibilities

• Oversee, manage, & prioritize the compliance review of marketing materials, client communications, diligence reports, research, & quarterly reporting, among other materials for SEC & FINRA compliance.
• Establish & implement processes & procedures complete compliance testing & monitoring for marketing related materials.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Maintain & update policies & procedures based on new regulatory developments & new business initiatives.
• Assist in developing & conducting company-wide training to meet both SEC & FINRA obligations.
• Assist in preparing for & responding to inquiries & audits from regulatory authorities.

Qualifications

• 5-8 years of experience, preferably with both broker dealer & registered investment advisor experience
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, including SEC 206(4)-1, & FINRA regulations
• Experience with alternative investments & structured investments, as well as an understanding of compliance restrictions around private placements & registered products
• Excellent verbal communication skills & strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management & process development skills
• JD is a plus
• Series 24 must be obtained upon hire or shortly thereafter

Benefits

The base salary range for this role is $100,000 to $180,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, & 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, & virtual mental health counseling, parental leave, & unlimited paid time off (PTO).

We believe the best ideas & innovation happen when we are together. We offer most employees the flexibility to work in the office three or four days.

Every department has different needs, & some positions will be designated in-office jobs, based on their function.

For additional information on iCapital, please visit Twitter : @icapitalnetwork LinkedIn : Awards Disclaimer :

iCapital is proud to be an Equal Employment Opportunity & 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.