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iCapital Network // fintech platform for alternative investment solns
 
Greenwich, Connecticut, United States    Posted: Tuesday, January 05, 2021
 
   
 
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JOB DETAILS
 

Compliance Associate

The ideal candidate will help administer & enhance iCapitals compliance program. You will work closely with both our Chief Compliance Officer & Deputy General Counsel on a variety of compliance matters especially with marketing materials review & registered funds compliance activities.

  • Review of registered fund new product marketing materials for SEC & FINRA compliance
  • Review of registered fund client communications & quarterly reporting
  • Perform registered fund compliance testing & monitoring
  • Assist in maintaining & updating policies & procedures based on new registered fund regulatory developments
  • Assist in conducting company-wide training to meet both SEC & FINRA obligations
  • Monitor industry-wide compliance initiatives as well as important federal, state, & non-U.S. regulatory developments & conduct analyses as to how such developments impact our activities

Candidate Profile

  • 4-6 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, & FINRA regulation
  • Experience with alternative investments & understanding of compliance restrictions around private placements & registered products
  • Experience with registered products & 40 Act compliance
  • JD a plus but not required
  • Strong interpersonal & leadership skills
  • Willingness to learn new topics & work in an evolving business environment
  • High level of integrity
  • Organized & detailed oriented with big picture capability
  • Proficient in MS Excel & Word

iCapital Network 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.

 
 
 
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