Confirmed live in the last 24 hours
Greenwich, CT, USA
- 3-5 years of experience, preferably with both Broker Dealer and Registered Investment Advisor experience
- Experience with alternative investments and understanding of compliance restrictions around private placements and registered products
- Experience with registered products and 40 Act compliance
- Experience with Separately Managed Accounts
- JD a plus but not required
- Strong communication and problem-solving skills
- Motivated to learn new topics and work in an evolving business environment
- High level of integrity
- Organized and detailed-oriented with big picture capability
- Proficient in MS Excel and Word
- Review registered fund new product marketing materials for SEC and FINRA compliance
- Review registered fund client communications and quarterly reporting
- Perform registered fund compliance testing and monitoring
- Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments
- Assist in conducting company-wide training to meet both SEC and FINRA obligations
- Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities
iCapital Network connects advisors and their high net worth investors to leading alternative investment managers.
- 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
Company Core Values
- Integrity - Honesty and integrity are fundamental to everything we do.
- Collaboration - Teamwork and collaboration are the foundation of our success.
- Accountabiltiy - We demonstrate commitment, caring, and enthusiasm.
- Partnership - The success of our clients and partners is our relentless focus.
- Excellence - We Strive for flawless execution.