FinTech, Financial Services, Wealth Management

Regulatory Reporting - Vice President

RemoteRemoteFull TimeVice President$150,000–$175,000 /yrPosted 16 days agoVisa sponsorship available

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Required skills

Form D
blue-sky notices
Form ADV
Form PF
34 Act filings
BE-185
private funds
registered investment advisers
SEC
FINRA

Nice to have

continuous learning mindset
self-motivated
detail oriented

Role summary

iCapital is seeking a Vice President of Regulatory Reporting to join its Regulatory and Compliance team. This role will oversee the preparation of various regulatory filings for Registered Investment Advisers (RIAs) and private funds, including Form D, Form ADV, Form PF, and BE-185. The VP will advise on regulatory developments, manage the end-to-end reporting process, and implement compliance functions. Qualifications include a Bachelor's degree, 8+ years of experience in private funds and RIAs, strong knowledge of reporting obligations, and experience with regulatory bodies like the SEC. The position also requires strong project management, process development, risk evaluation, and mentoring skills. This is a hybrid role with a salary range of $150,000-$175,000.

About the Role

iCapital is looking to hire a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. This position will work closely with the Senior Vice Presidents and Co-Chief Compliance Officers of the Registered Investment Advisers (RIAs) on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Responsibilities

Oversee the preparation of regulatory filings including, but not limited to, Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky.

Advise on regulatory developments affecting regulatory filings of RIAs.

Provide compliance leadership and own the end-to-end process of regulatory reporting.

Assist with other compliance-related matters as needed.

Develop and implement various compliance functions and tests.

Leverage firm technology to assist in both internal and external reporting.

Develop new procedures and amend existing ones as needed.

Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses on how such developments impact our activities.

Recommend solutions to resolve regulatory challenges.

Liaise with other internal and external stakeholders.

Qualifications

Bachelor's degree in a related field

8+ years of experience, primarily focused on private funds and registered investment advisers

Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky) and reports required under the 1934 Act

Excellent written and verbal communication skills

Able to thrive in a fast-paced environment with a continuous learning mindset

Self-motivated with robust project management and process development skills

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

Detail oriented with and able to assess and prioritize projects

Benefits

The base salary range for this role is $150,000 to $175,000. 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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Regulatory Reporting - Vice President

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