Regulatory and Compliance Associate (Private Funds Marketing)

Join iCapital, a leading financial technology company, as a Regulatory and Compliance Associate. In this role, you will be responsible for reviewing and approving marketing materials for private funds, ensuring compliance with SEC and FINRA regulations. You will collaborate with various business lines on new marketing initiatives, assist in maintaining and updating policies and procedures, and contribute to company-wide training. The ideal candidate will have 2-5+ years of experience in compliance, a strong knowledge of relevant regulations, and excellent communication skills.

• Lead the review and approval process for marketing materials created by investment advisers and broker-dealer, with a strong focus on private funds.
• Ensure compliance with all communications and advertising rules, working with the Distribution and Marketing teams.
• Perform compliance testing and monitoring for marketing-related materials, and collaborate across various business lines on new marketing initiatives.
• Self-motivated with robust project management and process development skills
• Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
• Excellent verbal and interpersonal communication skills
• Able to thrive in a fast-paced environment with a continuous learning mindset
• 2-5+ years of experience, preferably with both broker dealer and registered investment advisor experience
• Bachelor's degree in a related field
• JD is a plus
• Experience with alternative investments, primarily private funds, as well as an understanding of compliance restrictions around private placements and registered products