Regulatory & Compliance Associate

Join iCapital, a leading financial technology company, as a Compliance Associate. In this role, you will support the Global Regulatory and Compliance team in ensuring adherence to applicable securities laws, regulations, and internal policies. You will be responsible for all regulatory and compliance matters for iCapital's business in Canada, assisting with a variety of regulatory activities at both the company level and for investment vehicles. The ideal candidate will have 2-5 years of experience in regulatory compliance within the investment industry and a strong understanding of National Instrument requirements.

• Assister à une variété d'activités réglementaires au niveau de l'entreprise et pour les véhicules d'investissement, en veillant à ce que l'entreprise respecte les lois et règlements applicables.
• Développer, mettre en œuvre, communiquer, maintenir et surveiller les politiques et procédures de conformité pour garantir le respect des réglementations sur les valeurs mobilières.
• Gérer le calendrier de conformité du Canada et s'assurer que toutes les dates d'échéance et les personnes ou parties responsables sont tenues responsables.
• The ideal candidate will have experience in regulatory compliance within the investment industry and a strong understanding of National Instrument requirements and regulatory expectations for PMs, EMDs, and IFMs
• Experience with regulatory filings is a plus
• Bilingual in English and French
• Strong computer skills, including MS Suite (i.e. Word, Excel, and PowerPoint, and DocuSign)
• Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
• Strong written and verbal communication skills
• Compliance expertise in the private fund and investment management space
• 2-5 years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities
• Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
• Excellent analytical skills, attention to detail, and able to interpret regulatory requirements