Regulatory and Compliance - Associate

The role

This individual will work with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on compliance matters. The role focuses on regulatory reporting and preparing various U.S. and international regulatory filings.

What you will do

• Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings.
• Develop, update, and implement procedures to ensure robust processes for regulatory filings.
• Monitor and analyze industry-wide compliance initiatives and regulatory developments.
• 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.

Required qualifications

• 2-5 years of registered investment adviser experience
• 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

Nice to have

• preferably in preparing regulatory filings

Benefits

• salary
• equity for all full-time employees
• annual performance bonus
• employer matched retirement plan
• generously subsidized healthcare
• 100% employer paid dental
• vision
• telemedicine
• virtual mental health counseling
• parental leave
• unlimited paid time off (PTO)

About the company

iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team.