Remote Compliance - Registered Funds Contractor

Summary

Join iCapital's Compliance team as an Associate Contractor to help administer and enhance the company's Compliance program. The ideal candidate will review marketing materials, perform compliance testing, and assist with policy updates.

Requirements

• 3-5 years of experience, preferably with both broker dealer and registered investment advisor experience
• Experience with alternative investments and understanding of compliance restrictions around private placements and registered products
• Experience with registered products and 40 Act compliance
• JD is a plus
• Strong communication and problem-solving skills
• Motivated to learn new topics and work in an evolving business environment
• Organized and detailed-oriented with big picture capability
• Proficient in Microsoft Excel and Word

Responsibilities

• Review registered fund new product marketing materials and private fund marketing materials for SEC and FINRA compliance
• Review and organize registered fund client communications and quarterly reporting
• Perform registered fund compliance testing and monitoring
• Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments
• Assist with periodic 40Act filings and certifications

Benefits

• Base salary range: $80,000 to $105,000
• 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)
• Equity for all full-time employees
• Annual performance bonus