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 for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.
What they're looking for
- · 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
- · Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
- · Comfortable leading discussions and initiatives with senior internal and external stakeholders
- · Able to manage multiple deadlines and projects
- · Organized and detailed oriented with big picture capability
- · Strong interpersonal and leadership skills
More about this role
iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.
· Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
· Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
· Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.
· Inform senior management of any material regulatory or operational changes.
· Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.
· Assist with ad-hoc compliance-related...
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