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 seeking a Compliance Officer to join the Global Regulatory & Compliance team. This role will assist with a variety of regulatory activities both at the company level & for investment vehicles.  This individual will be responsible for all regulatory & compliance matters for iCapitals business in Canada.  iCapital operates through several 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 Canadian office is operating within the letter & the spirit of the regulations.

Responsibilities

• Define compliance strategy & guidelines to support the companys growth across Canada 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 policies & procedures as well as internal controls, & test & monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in Canada.
• Act as the Compliance Knowledge Center within the company & trusted advisor to Senior Management, providing guidance & training on compliance topics if needed.

Qualifications

• 5+ years of experience of senior compliance, business controls, operations & regulatory experience with an investment fund manager, portfolio manager & exempt market dealer entity regulated by the Canadian securities authorities
• Compliance expertise in the private fund & investment management space
• In-depth knowledge of Canadian securities laws rules, including registrant & investment fund regulation, & other regulatory frameworks relevant to the investment management industry
• Adaptable & entrepreneurial, able to work within the fast-paced, growing & constantly evolving structure of a high-growth company
• 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 competitive total compensation package consisting of salary, bonus, & equity for all full-time employees.   The Company pays 100% of the premium for all Group Benefits for you & your dependents.  Some of these benefits include medical, dental, vison, prescription, life insurance & long term disability.  We offer a variety of Retirement Plans so of which have a company match.   We offer unlimited Paid Time Off (PTO) & most employees the flexibility to work in the office three to four days & remotely for the remainder of the week.  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 support a fair & inclusive workplace, in which all applicants have an opportunity to fulfill their potential & every person has the right to equal treatment with respect to employment without discrimination.  iCapital does not tolerate any discrimination contrary to the Ontario Human Rights Code, including on the grounds of race, ancestry, place of origin, colour, ethnic origin, citizenship, creed, sex, sexual orientation, gender identity, gender expression, age, record of offences, marital status, family status or disability.