Regulatory & Compliance Associate

Who you are

• 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
• Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
• Comfortable leading discussions and initiatives with senior internal and external stakeholders
• Able to manage multiple deadlines and projects
• Organized and detailed oriented with big picture capability
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies

What the job involves

• ICapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting
• Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings
• Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings
• Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management
• Inform senior management of any material regulatory or operational changes
• Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency
• Assist with ad-hoc compliance-related matters