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FinTech, Financial Services, Wealth Management

Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President

RemoteRemoteFull TimeVice President$155,000–$185,000 /yrPosted 2 months agoVisa sponsorship available

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Required skills

  • Investor Onboarding
  • Regulatory Review
  • Subscription Materials
  • Private Funds
  • Registered Funds
  • Securities Act of 1933
  • Exchange Act of 1934
  • FINRA Rules
  • Fund Structuring
  • Fund Formation

Nice to have

  • Alternatives Experience
  • Registered Investment Advisor
  • AML/KYC
  • JD

Role summary

iCapital seeks a Vice President for its Regulatory and Compliance team to manage investor onboarding and review subscription materials for private and registered funds. The role involves ensuring compliance with key securities acts and FINRA rules, leading a review team, managing client relationships, and tracking investor data. Qualifications include 8-15+ years of alternatives experience, expertise in fund structuring and governing documents, and knowledge of relevant regulations. Strong project management, process development, and communication skills are essential. This hybrid role offers a competitive salary and comprehensive benefits.

About the Role

iCapital is looking for a Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.

Responsibilities

  • Lead the Subscription Document Review team.
  • Manage client engagements and relationships.
  • Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
  • Create and maintain client and investor reporting tracking investor subscriptions, deadlines, and transaction-related data.
  • Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
  • Communicate with investment relation teams on ongoing fundraises and investor issues.
  • Provide deficiency comments for investor subscription materials.

    • Qualifications

  • 8-15+ years of alternatives experience, preferably with private funds and registered investment advisor experience.
  • Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds.
  • Experience reviewing governing documents for investors, e.g., limited liability company agreements and trust agreements.
  • Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
  • AML/KYC knowledge of regulatory requirements for private fund investors is a plus but not required.
  • Excellent verbal communication skills and strong ability for personal interaction.
  • Professionalism both client-facing and internally.
  • Thrives in a fast-paced environment with a continuous learning mindset.
  • Self-motivated with robust project management and process development skills
  • JD a plus, but not required

    • Benefits

    The base salary range for this role is $155,000 to $185,000. 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 Twitter: @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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