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 $176 billion in global client assets invested in 1,433 funds, as of December 2023.

iCapital has been named to the Forbes Fintech 50 for six 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 seeking a Compliance Officer to join the Global Regulatory & Compliance Team, based in London. This role will assist with a variety of regulatory activities both at the firm level & for investment vehicles.  The successful hire will take full responsibility for all regulatory & compliance matters for iCapitals business in the UK & support the regulatory oversight of the cross-border business in Europe & in the Middle East.  iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner with the business teams to ensure that our UK office is operating within the letter & the spirit of the regulations.

Responsibilities

• Define compliance strategy & guidelines to support the firms growth across the UK in a sustainable & compliant way.
• Work closely with senior management, colleagues, regulators, & external partners & stakeholders to anticipate risks to the firm & its clients & mitigate them.
• Develop & implement appropriate controls & monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in the UK.
• Act as Compliance Knowledge Center within the firm & trusted advisor to Senior Management, providing guidance & training on compliance topics if needed.

Qualifications

• 5+ years of experience of senior legal, compliance, operations & regulatory experience with a financial entity regulated by the FCA
• Familiarity with UK & EU rules, including MiFID & AIMD framework.
• Compliance Legal expertise - specifically in the UK & cross-border activity in the EU (and experience with the Middle East would be a plus).
• Adaptable & entrepreneurial, able to work within the fast-paced, growing & constantly evolving structure of a high-growth firm.
• In-depth knowledge of cross-border regulations.
• Mother tongue / native-level English communication for collaboration with head office & external, international stakeholders & suppliers.

Benefits

iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, & equity for all full-time employees; healthcare with 100% employer-paid health & dental insurance; & generous paid time off (PTO).

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/