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Full-Time

RIA Compliance

Assistant Vice President

Confirmed live in the last 24 hours

iCapital Network

iCapital Network

1,001-5,000 employees

Connects advisors with alternative investment opportunities

Financial Services
Fintech

Compensation Overview

$100k - $150kAnnually

+ Equity + Bonus

Mid, Senior

Greenwich, CT, USA

Employees must work in the office four days a week, with one day of remote flexibility.

Category
Risk Management
Finance & Banking
Required Skills
Communications
Marketing
PowerPoint/Keynote/Slides
Requirements
  • Bachelor's degree in a related field
  • 6-10 years of compliance program oversight in the RIA and Investment Company Act of 1940 registered products space with implementation and guideline monitoring experience
  • Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable and FINRA rules
  • Experience in investment management, wealth management, or fintech industry
  • Proficient in Microsoft Office Suite, specifically Word, PowerPoint and Excel
  • Excellent presentation, communication, and interpersonal skills
  • Willingness to learn new topics and work in an evolving business environment
  • Organized and detail-oriented with big picture capability
  • JD. or equivalent is preferred
  • FINRA Series 7 and 24 is preferred
Responsibilities
  • Assist in maintaining and updating policies and procedures relating to registered funds.
  • Review registered fund filings, marketing materials, and client communications.
  • Advise on issues relating to distribution.
  • Oversee reporting processes.
  • Perform compliance testing and monitoring.
  • Assist in conducting company-wide training to meet SEC 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 financial advisors with high net worth investors to provide access to alternative investment opportunities, such as private equity, hedge funds, and real estate. Their platform simplifies the investment process, making it easier for affluent clients to diversify their portfolios and seek higher returns. iCapital offers a comprehensive solution that includes access to curated investment options, educational resources, and support services. They generate revenue through various fees based on the assets managed or invested through their platform. What sets iCapital apart from competitors is their focus on delivering a seamless user experience and a strong emphasis on educating clients about the risks and benefits of alternative investments.

Company Stage

Series C

Total Funding

$717.3M

Headquarters

New York City, New York

Founded

2013

Growth & Insights
Headcount

6 month growth

17%

1 year growth

26%

2 year growth

45%
Simplify Jobs

Simplify's Take

What believers are saying

  • Strategic partnerships with firms like Blue Owl Capital, Endowus, and Ardian expand iCapital's reach and enhance its service offerings.
  • The acquisition of Mirador and the exclusive partnership with Unicorn Strategic Partners demonstrate iCapital's commitment to growth and market penetration.
  • iCapital's focus on user experience and seamless navigation of the alternative investment landscape ensures high client satisfaction and retention.

What critics are saying

  • The niche focus on alternative investments may limit iCapital's market appeal compared to more diversified financial service providers.
  • Integration challenges from acquisitions and partnerships could disrupt operations and affect service quality.

What makes iCapital Network unique

  • iCapital Network specializes in alternative investments, providing a curated selection of private equity, hedge funds, and real estate opportunities, unlike traditional financial service providers.
  • Their platform simplifies the complex process of investing in alternatives, making it more accessible and efficient for high net worth individuals and their advisors.
  • iCapital's strong emphasis on education and comprehensive support helps clients understand the benefits and risks associated with alternative investments, setting them apart from competitors.

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