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FinTech, Financial Services, Wealth Management

ETF and 1940 Act Registered Funds Compliance Officer - Vice President

RemoteRemoteFull TimeVice President$150,000–$180,000 /yrPosted 17 days agoVisa sponsorship available

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Required skills

  • ETF
  • 1940 Act Registered Funds
  • Rule 6c-11
  • Rule 38a-1
  • NFA
  • CFTC
  • derivatives
  • valuation
  • liquidity
  • regulatory risks

Nice to have

  • Law Degree
  • FINRA Series 7
  • FINRA Series 24
  • upskill

Role summary

iCapital is seeking a Vice President-level Compliance Officer to oversee compliance programs for ETF, Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds. This role involves maintaining expert knowledge of relevant regulations (Investment Advisers Act of 1940, Investment Company Act of 1940, Rule 6c-11, NFA, CFTC), advising on regulatory developments, reviewing marketing materials, developing policies and procedures, conducting compliance testing, and overseeing third-party service providers. The ideal candidate will have 10+ years of financial services compliance experience, a strong understanding of ETFs and registered funds, and knowledge of U.S. securities laws. A Law Degree or MBA and FINRA Series 7/24 licenses are preferred.

About the Role

iCapital is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.

Responsibilities

  • Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑11.
  • Oversee the administration of the Fund's compliance and governance framework.
  • Assist in monitoring compliance with fund governing documents.
  • Advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
  • Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
  • Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures.
  • Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders.
  • Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
  • Oversee product‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
  • Conduct post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
  • Support trading oversight frameworks, including best execution governance and related compliance practices.
  • Perform compliance testing, reporting, and remediation tracking to ensure timely resolution of issues.
  • Oversee and coordinate compliance reviews of third‑party service providers, including administrators, custodians, legal counsel, and auditors.

    • Qualifications

  • Bachelor’s degree is required; Law Degree or MBA is preferred
  • 10+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
  • Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
  • Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
  • Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
  • Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
  • Experience evaluating risk and mapping risk and controls across firm practices
  • Skilled at developing other team members through mentoring or helping upskill
  • Able to operate in a fast-paced environment
  • Detail oriented with the ability to assess and prioritize projects
  • FINRA Series 7 and 24 licenses are preferred

    • Benefits

    The base salary range for this role is $150,000 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 Monday-Thursday, with the flexibility to work remotely on Friday.

    For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | 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.

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