Regulatory and Compliance - Associate

The role

This person will support the Global Regulatory and Compliance team to ensure adherence to securities laws, regulations, and internal policies. They will be responsible for all regulatory and compliance matters for the business in Canada.

What you will do

• Assist in the development, implementation, communication, maintenance, and monitoring of compliance policies and procedures.
• Foster a culture of compliance across the organization.
• Establish strong working relationships with business partners and other stakeholders.
• Collaborate with various departments to ensure alignment on compliance issues.
• Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance.
• Support the preparation and filing of regulatory reports.
• Manage the Canada Compliance Calendar.
• Support regulatory audits, inquiries, and inspections by securities regulators.
• Monitor and track regulatory developments and update internal policies.
• Assist with compliance training and attestations for employees.

Required qualifications

• 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 th
• Compliance expertise in the private fund and investment management space
• Excellent analytical skills, attention to detail, and able to interpret regulatory requirements
• 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
• Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
• Strong computer skills, including MS Suite (i.e. Word, Excel, and PowerPoint, and DocuSign)

Nice to have

• Bilingual in English and French
• Experience with regulatory filings

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• Subsidized healthcare
• 100% employer paid dental
• Vision
• Telemedicine
• Virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)

About the company

iCapital operates through several different international entities, many of which are licensed to conduct regulated activities.