Legal & Chief Compliance Officer – Vice President / Senior Vice President
Posted on 9/15/2023
INACTIVE
iCapital Network

1,001-5,000 employees

Digital platform facilitating access to alternative investments
Company Overview
iCapital is a global fintech leader that has significantly transformed the alternative investment marketplace by providing streamlined, scalable digital solutions and educational resources. Their robust technology and services, including diligence, compliance, and portfolio analytics capabilities, have revolutionized how wealth management, banking, and asset management industries facilitate client access to a wide range of private investments. Furthermore, iCapital's commitment to democratizing alternatives has enabled organizations to offer direct investments and feeder funds at lower minimums, thus expanding beyond the traditional 60/40 portfolio.
Financial Services

Company Stage

Series C

Total Funding

$717.3M

Founded

2013

Headquarters

New York, New York

Growth & Insights
Headcount

6 month growth

6%

1 year growth

15%

2 year growth

68%
Locations
Toronto, ON, Canada
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Management
CategoriesNew
Legal & Compliance
Requirements
  • 8+ years of fund formation experience within the Investment Management space in Canada (Private Equity and Hedge Fund)
  • Strong knowledge of provincial and territorial securities laws, instruments, and policies; detailed knowledge and experience with registrant regulation (including NI 31-103 and IIROC), private placements and laws of general application to an asset management business and fund offerings in Canada (including privacy, money laundering and sanctions)
  • Strong experience in Canadian securities laws and regulatory framework, drafting and negotiating fund documents, side letters, placement agreements and related fund materials
  • Member in good standing of the Law Society of Ontario or the equivalent in another province Law firm or in-house experience at an asset management firm
  • Strong interpersonal and leadership skills
  • Willingness to learn new topics and work in an evolving business environment
  • High level of integrity
  • Organized and detail-oriented with big picture capability
  • Familiarity with U.S. securities laws a plus
Responsibilities
  • Negotiate various agreements with counterparties including fund managers and distribution agents
  • Draft and review of private fund offering materials, partnership agreements, and other private fund legal documentation
  • Serve as in-region expert on Canadian securities laws and regulatory concerns
  • Advise on the legal implications of offering new and existing products and services
  • Coordinate with outside legal counsel with respect to a variety of issues including regulatory, corporate and fund investment work
  • Draft and review various contracts, non-disclosure agreements, and other legal documentation
  • Perform ad hoc research projects