Regulatory and Compliance, ERISA - Senior Vice President

The role

The Senior Vice President leads the enterprise-wide compliance program relating to ERISA, DOL regulations, and QPAM requirements. This person will develop policies, testing programs, and governance frameworks to ensure compliance with fiduciary standards.

What you will do

• Develop, maintain, and enhance ERISA compliance policies, procedures, controls, and monitoring programs.
• Provide regulatory guidance regarding fiduciary duties, plan-asset rules, prohibited transactions, and exemptions.
• Advise business stakeholders on ERISA implications of investment products and operational processes.
• Monitor legal and regulatory developments from the DOL, IRS, SEC, and other authorities.
• Design and administer risk-based compliance reviews.
• Implement monitoring programs, testing protocols, certifications, and issue-management processes.
• Oversee the firm's ongoing compliance with the Qualified Professional Asset Manager (QPAM) Exemption.
• Maintain and execute QPAM monitoring and testing programs.
• Coordinate reviews of QPAM eligibility criteria.
• Establish and maintain documentation evidencing compliance with QPAM conditions.

Required qualifications

• Bachelor's degree
• 10+ years of experience in investment adviser, asset management, retirement, ERISA, legal, or compliance functions
• Deep knowledge of ERISA fiduciary standards, prohibited transaction rules, and Department of Labor regulations
• Familiar with collective investment trusts (CITs), private funds, alternative investments, and institutional asset management
• Experience developing compliance programs, controls, testing frameworks, and governance processes
• Strong analytical, communication, and problem-solving skills
• Experience with QPAM compliance programs and prohibited transaction exemptions

Nice to have

• J.D., MBA, or other advanced degree

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• 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.