Broker Dealer Compliance - Assistant Vice President / Vice President

Responsibilities

• Oversee, manage, and prioritize the compliance review of marketing materials, client communications, diligence reports, research, and quarterly reporting, among other materials for SEC and FINRA compliance.
• Establish and implement processes and procedures complete compliance testing and monitoring for marketing related materials.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Maintain and update policies and procedures based on new regulatory developments and new business initiatives.
• Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations.
• Assist in preparing for and responding to inquiries and audits from regulatory authorities.

Qualifications

• 5-8 years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, including SEC 206(4)-1, and FINRA regulations
• Experience with alternative investments and structured investments, as well as an understanding of compliance restrictions around private placements and registered products
• Excellent verbal communication skills and strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• JD is a plus
• Series 24 must be obtained upon hire or shortly thereafter

Benefits

The base salary range for this role is $100,000 to $180,000. 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. We offer most employees the flexibility to work in the office three or four days.  Every department has different needs, and some positions will be designated in-office jobs, based on their function. 

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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.