Regulatory and Compliance, Private Funds Marketing - Associate
About the Role
iCapital is looking for a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer. There will be a strong focus on marketing materials for private funds. The ideal candidate will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance teams with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.
Responsibilities
- Review of marketing materials, client communications, diligence reports, research and quarterly reporting, among other materials for SEC and FINRA compliance.
- Perform compliance testing and monitoring for marketing related materials.
- Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
- Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives.
- Contribute to developing and conducting company-wide training to meet both SEC and FINRA obligations.
- Help prepare for and respond to inquiries and audits from regulatory authorities.
Qualifications
- Bachelor's degree in a related field
- 2-5+ years of experience, preferably with both broker dealer and registered investment advisor experience
- Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
- Experience with alternative investments, primarily private funds, as well as an understanding of compliance restrictions around private placements and registered products
- Excellent verbal and interpersonal communication skills
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- JD is a plus
Benefits
The base salary range for this role is $85,000 to $115,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit Twitter: @icapitalnetwork | LinkedIn: | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics
As published by greenhouse
First Name, Last Name, Email, Phone, Resume/CV, Cover Letter, Location
- Preferred First Name
- Are you legally eligible to work in the country where this role is located? choose one
- Do you currently require any type of visa sponsorship for employment? choose one
- Do you require any type of visa sponsorship for employment in the future (i.e. student visa transfer to H1B, etc)? choose one
- What is your desired base salary expectation? Please specify the amount and currency.
- What is your desired total annual compensation when considering an equity award? Please specify the amount and currency.
- Are you subject to any form of Garden Leave or a Non-Compete Agreement? If yes, please provide detail below.
- iCapital is an office-first culture, as such all employees are required to work in the office Monday-Thursday, with the flexibility to work remotely on Friday, depending on the department. Please review the job description before applying, to identify the specified location/s for the role. choose any
- How did you hear about this job? choose one
- If "Employee Referral" was selected for "How did you hear about this job?" please type the full name of the referring employee. If not, please type in "N/A".
- What is your full legal name?
- What is your LinkedIn profile URL? If applicable, please share the link.
- What is your personal website or online portfolio? If applicable, please share the link.
- What is your desired bonus expectation? Please specify the amount and currency.
- What forms of deferred compensation do you currently have (e.g., unpaid or deferred bonus, equity, or other long‑term incentive plans)? Please provide as much detail as possible. If no form of deferred compensation exists, please input N/A for this question. written answer