Broker Dealer Compliance - Assistant Vice President / Vice President

iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and 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);

and a three-time winner of MMI / Barron's Solutions Provider award (See link below).

About the Role

iCapital is looking for an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing.

Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors.

This individual will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.

Responsibilities

• Oversee, manage, and prioritize the compliance review of marketing materials, client communications, diligence reports, research, and quarterly reporting, among other materials for SEC and FINRA compliance.
• Establish and implement processes and procedures complete compliance testing and monitoring for marketing related materials.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Maintain and update policies and procedures based on new regulatory developments and new business initiatives.
• Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations.
• Assist in preparing for and responding to inquiries and audits from regulatory authorities.

Qualifications

• 5-8 years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, including SEC 206(4)-1, and FINRA regulations
• Experience with alternative investments and structured investments, as well as an understanding of compliance restrictions around private placements and registered products
• Excellent verbal communication skills and strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• JD is a plus
• Series 24 must be obtained upon hire or shortly thereafter

Benefits

The base salary range for this role is $100,000 to $180,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus.

Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office four days, with the flexibility to work remotely one day.

Every department has different needs, and 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 : redacted LinkedIn : https : / / www.

linkedin.com / company / icapital-network-inc Awards Disclaimer : https : / / www.icapitalnetwork.com / about-us / recognition /

iCapital is proud to be an Equal Employment Opportunity and 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.