RiseMe
iCapital logo
iCapital Verified
FinTech, Financial Services, Wealth Management

Regulatory and Compliance, Subscription Document Review - Associate

RemoteRemoteFull TimeEntry-level (exp-based)Posted 1 month agoVisa sponsorship available

Is this role right for you?

Upload your resume and get a skill-by-skill breakdown — see exactly where you match, where you're close, and what to highlight. Not a mystery percentage.

Get a tailored resume highlighting what this role needs.

Required skills

  • investor subscription materials
  • private funds
  • registered funds
  • governing documents
  • limited liability company agreements
  • trust agreements
  • Excel
  • project management
  • process development

Nice to have

  • AML
  • KYC
  • alternatives experience

Role summary

iCapital is seeking a Subscription Document Review Associate for its Regulatory and Compliance team. This role involves reviewing investor subscription materials for compliance with key securities laws and FINRA rules. Responsibilities include tracking documentation, maintaining reports, communicating with internal teams, and drafting deficiency comments. The ideal candidate will have 1-3 years of experience with private funds and registered investment advisors, knowledge of fund structuring, and familiarity with relevant regulations. Strong project management and communication skills are essential. This hybrid role offers a competitive salary and comprehensive benefits.

About the Role

iCapital is looking for a Subscription Document Review Associate 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

  • Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
  • Create and maintain Excel spreadsheets and reports 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.
  • Draft deficiency comments for investor subscription materials.

    • Qualifications

  • 1-3 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, (i.e. limited liability company agreements and trust agreements)
  • Knowledge of the Investment Company Act of 1940 and Securities Act of 1933
  • AML and KYC knowledge of regulatory requirements for private fund investors is a plus
  • Excellent verbal communication skills and strong ability for personal interaction
  • Professionalism both client-facing and internally
  • Able to thrive in a fast-paced environment with a continuous learning mindset
  • Self-motivated with robust project management and process development skills
  • JD is a plus

    • Benefits

    The base salary range for this role is $ 90,000 to $ 115,000. 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.

    Ready to apply?
    You'll be redirected to iCapital's application page.

    Similar roles

    See how RiseMe works

    Match, tailor, and prep so you send fewer applications and land more interviews.