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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 $105 billion in global client assets invested in close to 900 funds, as of December 2021.

iCapital was named Solutions Provider of the Year at the 2020 MMI/Barrons Industry Awards & selected to the 2018, 2019, 2020 & 2021 Forbes FinTech 50, a list of the top 50 innovative financial technology companies that are transforming finance through technology.

About the Role

iCapital is seeking a Governance & Marketing Associate to join the Compliance Team. This role will assist with a variety of corporate governance activities both at the firm level & for investment vehicles. This role will conduct compliance marketing materials review on a wide variety of communications.

The ideal candidate is highly organized, willing to learn new things, collaborative, detail-oriented, & possesses excellent communication skills.

Responsibilities

  • Review new product marketing materials for SEC & FINRA compliance.
  • Coordinate with various teams including compliance, marketing, sales, & all applicable business units to timely review & approve all communications.
  • Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC & FINRA rules, laws, & regulations.
  • Conduct compliance monitoring programs related to marketing materials, updating policies & procedures, & conduct periodic training.
  • Work closely with the Compliance team & assist with any other Compliance related functions & ad hoc projects.
  • Assist with documenting corporate actions, including minutes, resolutions, consents, governing documents, & certificates.
  • Independently maintain, track, & manage entity management systems. Experience with BluePrint, Hcue, or GEMS is a plus.
  • Assist in the internal preparation, coordination, & successful execution of fund board & committee meeting materials, minutes, agendas, & tracking of action items.
  • Respond to requests for information & documents from the company's internal & external auditors, regulators, & other stakeholders.
  • Prepare & maintain powers of attorney, incumbency certificates, & liaise with registered agents to obtain good standings & certified filings from the secretary of state.

Qualifications

  • Bachelor's degree; J.D. or equivalent, a plus
  • 2+ years of compliance marketing review experience
  • Experience in investment or wealth management; fintech industry, a plus
  • Proficient in Microsoft Office Suite, including Word, PowerPoint, & Excel
  • Excellent presentation & verbal communication skills

Benefits

iCapital offers a comprehensive benefits package that includes a competitive total compensation program consisting of salary, equity for all full-time employees, annual performance bonus, & an employer matched retirement plan; generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, & virtual mental health counseling; unlimited paid time off (PTO) & parental leave. 

As we re-enter our offices, iCapital offers 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.

This role will be located in either our New York, NY office or our Greenwich, CT office.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc

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.

 
 
 
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