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 Subscription Document Review Associate to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.
What they're looking for
- 1-3 years of alternatives experience, preferably with private funds and registered investment advisor experience
- Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds
- Experience reviewing governing documents for investors, (i.e. limited liability company agreements and trust agreements)
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933
- AML and KYC knowledge of regulatory requirements for private fund investors is a plus
- Excellent verbal communication skills and strong ability for personal interaction
More about this role
iCapital is looking for a Subscription Document Review Associate to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.
- Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
- Create and maintain Excel spreadsheets and reports tracking investor subscriptions, deadlines, and transaction-related data.
- Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
- Communicate with investment relation teams on ongoing fundraises and investor issues.
- Draft deficiency comments for investor subscription materials.
- 1-3 years of alternatives experience, preferably with private funds and registered investment advisor experience
- Experience in fund structuring and formation, reviewing governing documents for...
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