Senior Vice President of Regulatory and Compliance (Registered Funds)

Join iCapital as a Senior Vice President of Regulatory and Compliance, where you will manage the compliance program for registered 1940 Act products. You will work closely with senior portfolio management, business, regulatory and compliance, and legal teams on various compliance matters. Your responsibilities will include maintaining expert knowledge of relevant regulations, advising on regulatory developments, leading compliance efforts for fund launches, and overseeing compliance obligations. The ideal candidate has 10+ years of experience, strong knowledge of relevant regulations, and excellent interpersonal and leadership skills.

• Manage iCapital’s registered 1940 Act product compliance program, working closely with various teams on compliance matters.
• Maintain expert knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940, monitoring regulatory developments.
• Lead compliance efforts for Registered Funds launches and product changes, translating regulatory requirements into scalable policies.
• The ideal candidate has experience managing a team and is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent interpersonal and communication skills
• JD is a plus but not required
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, as well as SEC Rule 482, and applicable FINRA rules including FINRA Rule 2210
• Bachelor's degree is required
• Strong interpersonal and leadership skills
• Series 7 and 24 licenses are required
• Willingness to learn new topics and work in an evolving business environment
• Organized and detailed oriented with big picture capability
• 10+ years of experience, preferably with both Registered Fund and registered Investment Adviser experience
• Proficient in MS Excel and Word
• Experience with registered investment company EDGAR filings including shareholder reports (N-CSR) and tender offers (SC TO-I)