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 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 & 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.
|