iCapital seeks a Compliance Assistant Vice President or Vice President to lead KYC review and approval, ensuring compliance with regulatory requirements and assisting Legal and Compliance teams.
Responsibilities
Review AML and KYC documentation, client communications, and reporting
Perform compliance testing and monitoring
Collaborate on new initiatives, providing compliance guidance
Maintain and update policies and procedures
Develop and conduct company-wide training
Support preparation for and respond to regulatory inquiries and audits
Requirements
3-7 years of alternative investments experience
Knowledge of Investment Company Act of 1940 and Securities Act of 1933