Regulatory and Compliance Associate

About the Role

iCapital is looking for a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer. There will be a strong focus on marketing materials for private funds. The ideal candidate will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance teams with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.  

Responsibilities

• Review of marketing materials, client communications, diligence reports, research and quarterly reporting, among other materials for SEC and FINRA compliance.
• Perform compliance testing and monitoring for marketing related materials.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives.
• Contribute to developing and conducting company-wide training to meet both SEC and FINRA obligations.
• Help prepare for and respond to inquiries and audits from regulatory authorities.

Qualifications

• Bachelor's degree in a related field 
• 2-5+ years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
• Experience with alternative investments, primarily private funds, as well as an understanding of compliance restrictions around private placements and registered products
• Excellent verbal and interpersonal communication skills
• 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 $85,000 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