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 Associate to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role will be responsible for ensuring compliance with all AML and KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks. · Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
What they're looking for
- · 1-4 years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
- · Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
- · AML and KYC knowledge of regulatory requirements for private fund investors
- · Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck, ComplyAdvantage)
- · Excellent verbal communication skills with the ability for personal interaction
- · Thrives in a fast-paced environment with a continuous learning mindset
More about this role
iCapital is looking to hire a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role will be responsible for ensuring compliance with all AML and KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.
· Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
· Perform third party reliance testing and monitoring.
· Collaborate across various business lines on new initiatives, providing compliance guidance.
· Conduct AML screening review and dispositions.
· Assist in preparing for and responding to inquiries and audits.
· 1-4 years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
· Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
· AML and KYC knowledge of regulatory requirements for private fund investors
· Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck,...
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