Associate

Summary

Join iCapital's Regulatory and Compliance team as a Regulatory Reporting Associate to lead the preparation and submission of U.S. and international regulatory filings.

Requirements

• 3-6 years of registered investment adviser experience, preferably in preparing regulatory filings
• Experience with alternative investments and understanding of compliance restrictions around private placements and registered products, including SEC filings for private funds
• Able to manage multiple deadlines and projects
• Organized and detailed oriented with big picture capability
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Proficient in Microsoft Excel and Word

Responsibilities

• Lead the preparation and submission of U.S. and international regulatory filings including, but not limited to, Regulation D/blue sky notices, Form ADV, Form PF, BE-185, Form 45-106F1, and AIFMD – Annex IV
• Work with relevant business teams to collect, aggregate, and compile required data by leveraging technology to assist with both internal and external reporting
• Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings
• Monitor industry-wide compliance initiatives as well as federal, state, and non-U.S. Regulatory developments, conduct analyses on how such developments impact our activities and reporting requirements, and discuss such changes with senior management
• Collaborate with internal and external stakeholders on potential solutions, efficiencies and scalability, to reporting challenges
• Assist on other compliance-related matters as needed on an ad-hoc basis

Benefits

• Base salary range: $90,000 to $115,000
• Comprehensive benefits package including employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)