Regulatory and Compliance Assistant Vice President

Join iCapital as an Assistant Vice President in the Regulatory and Compliance team. In this role, you will assist with international offerings activities, conduct compliance marketing materials review, and ensure communications comply with regulatory guidelines. You will also maintain and oversee the compliance program for a registered investment adviser, update policies and procedures, and support ongoing compliance training initiatives. Additionally, you will prepare for and respond to regulatory inquiries, examinations, and audits, and contribute to other Regulatory and Compliance initiatives as needed.

• Assister à une variété d'activités liées aux offres internationales, tant au niveau de l'entreprise que pour les véhicules d'investissement.
• Veiller à ce que les communications soient conformes aux directives réglementaires applicables conformément aux règles de la SEC et de la FINRA.
• Coordonner avec des conseillers externes pour obtenir et incorporer des conseils réglementaires pour les supports marketing.
• Proficient in Microsoft Office Suite (Word, PowerPoint, Excel)
• 5+ years of experience, preferably with registered investment advisor experience
• Bachelor's degree, J.D. or equivalent is a plus
• Excellent verbal communication and presentation skills