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 help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- Bachelor’s degree is required, Law Degree or MBA is preferred
- 10+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
- Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
- Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
- Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
- Experience evaluating risk and mapping risk and controls across firm practices
More about this role
iCapital is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.
- Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑11.
- Oversee the administration of the Fund's compliance and governance framework.
- Assist in monitoring compliance with fund governing documents.
- Advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
- Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
- Advise...
Browse similar: Startup jobs