Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President

The role

The Investor Onboarding and Regulatory Review VP will review investor subscription materials for investments in private and registered funds. This person will ensure compliance with various Investment and Securities Acts and FINRA Rules.

What you will do

• Lead the Subscription Document Review team.
• Manage client engagements and relationships.
• Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
• Create and maintain client and investor reporting tracking investor subscriptions, deadlines, and transaction-related data.
• Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
• Communicate with investment relation teams on ongoing fundraises and investor issues.
• Provide deficiency comments for investor subscription materials.

Required qualifications

• 8-15+ years of alternatives experience
• Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds.
• Experience reviewing governing documents for investors, e.g., limited liability company agreements and trust agreements.
• Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
• Excellent verbal communication skills and strong ability for personal interaction.
• Professionalism both client-facing and internally.
• Thrives in a fast-paced environment with a continuous learning mindset.
• Self-motivated with robust project management and process development skills

Nice to have

• preferably with private funds and registered investment advisor experience
• AML/KYC knowledge of regulatory requirements for private fund investors is a plus
• JD a plus

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• Generously subsidized healthcare
• 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)

About the company

iCapital is an Equal Employment Opportunity and Affirmative Action employer.