Job Description

iCapital seeks a Compliance Assistant Vice President or Vice President to lead the review and approval process for marketing materials, ensuring compliance with SEC and FINRA regulations, with a focus on private funds. The role involves collaborating with Distribution and Marketing teams, assisting with compliance tasks, and supporting training and regulatory inquiries.

Responsibilities

• Review marketing materials for SEC and FINRA compliance
• Perform compliance testing and monitoring for marketing materials
• Collaborate on new marketing initiatives, providing compliance guidance
• Maintain and update policies and procedures
• Support company-wide training
• Facilitate preparation for regulatory inquiries and audits

Requirements

• 3-7 years of experience, preferably with broker dealer and registered investment advisor experience
• Strong knowledge of Rule 206(4)-1 of the Investment Advisers Act of 1940 and FINRA regulations
• Experience with alternative investments, primarily private funds
• Excellent verbal communication skills
• Ability to thrive in a fast-paced environment
• Self-motivated with project management skills
• JD a plus

Benefits

• No benefits