Broker Dealer Compliance

Assistant Vice President / Vice President

Confirmed live in the last 24 hours

iCapital Network

iCapital Network

1,001-5,000 employees

Automation platform for alternative investments

Financial Services


New York, NY, USA

Required Skills
  • 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 powers the alternative investment marketplace with its class-defining technology and powerful analytical tools, offering end-to-end enterprise solutions and an innovative operating system. The company's secure platform automates and streamlines the complex process of private market investing, providing unrivaled access, technology, and education to incorporate alternative assets into core portfolio strategies for financial advisors, wealth managers, and asset managers worldwide.

Company Stage

Series C

Total Funding



New York, New York



Growth & Insights

6 month growth


1 year growth


2 year growth



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