iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $214 billion in global client assets invested in 1,731 funds, as of December 2024.
iCapital has been named to the Forbes Fintech 50 for seven consecutive years (2018-2024); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a four-time winner of MMI/Barron’s Solutions Provider award (See link below).
iCapital is looking to hire an Associate to join the Regulatory and Compliance team to administer and enhance iCapital’s registered 1940 Act product compliance program. This role will work closely with Legal and Compliance team members on a variety of compliance matters focused on registered funds including assisting with policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting. This individual may also work on similar iCapital matters relating to privately offered funds.
• Review investment product marketing materials for SEC and FINRA compliance.
• Review registered fund client communications and quarterly reporting.
• Perform registered fund compliance testing and monitoring.
• Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
• Assist in conducting company-wide training to meet both SEC and FINRA obligations.
• Facilitate period Fund Board materials and Board reporting
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.