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Compliance
Associate
Confirmed live in the last 24 hours
Locations
Greenwich, CT, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Marketing
Communications
Excel/Numbers/Sheets
Requirements
  • 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
Responsibilities
  • 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

501-1,000 employees

Company Overview
iCapital Network connects advisors and their high net worth investors to leading alternative investment managers.
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
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.