Full-Time
Broker Dealer Compliance
Assistant Vice President / Vice President
Confirmed live in the last 24 hours
Automates alternative investment marketplace solutions
Senior, Expert
New York, NY, USA
- 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
- 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
iCapital is distinguished in the financial technology sector for its comprehensive technology solutions that simplify the intricate process of private market investing. The company's secure platform enhances the efficiency and accessibility of alternative investments for a global clientele, including financial advisors, wealth managers, and asset managers. This focus on streamlining investment processes with cutting-edge technology, coupled with a commitment to education and access in the financial sector, makes it an ideal workplace for professionals looking to impact the fintech industry significantly.
Company Stage
Series C
Total Funding
$717.3M
Headquarters
New York, New York
Founded
2013
6 month growth
↑ 10%1 year growth
↑ 15%2 year growth
↑ 70%Benefits
COmprehensive benefits package - Salary, Equity, Annual Performance Bonus, Employer Matched Retirement Plan
Generally Subsidized Healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
Unlimited PTO
Parental Leave