iCapital

iCapital

Regulatory and Compliance, Registered Funds - Senior Vice President

Greenwich, Connecticut, United States · Exec · Full-time

Sponsorship not specified$190k-$225kDetected 13 days ago
ComplianceExcelValuationLeadershipCommunicationOrganizational Skills

About the role

  • The ideal candidate has experience managing a team and is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent interpersonal and communication skills.

Responsibilities

  • Maintain expert knowledge of the Investment Company Act of 1940 (1940 Act) and the Investment Advisers Act of 1940 (IAA) and rules and regulations applicable to 1940 Act Registered Funds and investment advisers to 1940 Act Registered Funds (Investment Advisers).
  • Provide compliance leadership and support for Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
  • Lead compliance efforts for Registered Funds launches and product changes from concept through effectiveness and post launch execution.
  • Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
  • Perform compliance testing, reporting, and remediation tracking to ensure timely resolution of issues.

Requirements

  • Bachelor's degree is required
  • Series 7 and 24 licenses are required
  • 10+ years of experience, preferably with both Registered Fund and registered Investment Adviser experience
  • Experience with registered investment company EDGAR filings including shareholder reports (N-CSR) and tender offers (SC TO-I)
  • Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, as well as SEC Rule 482, and applicable FINRA rules including FINRA Rule 2210
  • Strong interpersonal and leadership skills
  • Willingness to learn new topics and work in an evolving business environment
  • Organized and detailed oriented with big picture capability
  • Proficient in MS Excel and Word
  • Benefits
  • The base salary range for this role is $190,000 to $225,000. 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/

Nice to have

  • JD is a plus but not required

Compensation

  • The base salary range for this role is $190,000 to $225,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus.

Benefits

  • The base salary range for this role is $190,000 to $225,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus.

Company info

  • https://www.linkedin.com/company/icapital-network-inc |
  • We believe the best ideas and innovation happen when we are together.

Equal opportunity

  • 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.
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