Helping Financial Advisors and Wealth Managers incorporate alternative strategies at scale. Helping Asset Managers open new lanes of distribution.
About the role
iCapital is looking to hire a Compliance Officer to support the relevant investment advisers serving the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This individual will assist with the implementation and administration of compliance programs for the firm’s SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities involving these products or entities. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- Bachelor’s degree is required
- 6+ years of compliance experience in the financial services industry, including experience with exchange-traded funds, derivatives, alternative investments, and the applicable regulatory landscape
- Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements
- Experience supporting regulatory examinations, investigations, or other interactions with the SEC, FINRA, or NFA
- Experience evaluating risk and mapping risks and controls across business practices
- Able to collaborate with and provide guidance to colleagues across functions and levels
More about this role
iCapital is looking to hire a Compliance Officer to support the relevant investment advisers serving the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This individual will assist with the implementation and administration of compliance programs for the firm’s SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities involving these products or entities.
- Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c‑11.
- Support the administration of the funds’ compliance and governance framework.
- Assist in monitoring compliance with fund governing documents.
- Monitor regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking, and assist in assessing their impact.
- Support ETF and Registered Funds initiatives by identifying regulatory risks, escalating issues, and helping develop practical solutions.
- Review fund...
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