Regulatory and Compliance, AML - Assistant Vice President

The role

This person will lead the review and approval process for investor AML and KYC with a strong private fund focus. They will ensure compliance with AML and KYC regulatory requirements and assist Legal and Compliance teams with compliance-focused tasks.

What you will do

• Review investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
• Perform third party reliance testing and monitoring.
• Collaborate across various business lines on new initiatives, providing compliance guidance.
• Conduct AML screening review and dispositions.
• Assist in preparing for and responding to inquiries and audits.

Required qualifications

• 5+ years of alternatives experience
• Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
• AML and KYC knowledge of regulatory requirements for private fund investors
• Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck, ComplyAdvantage)
• Excellent verbal communication skills with the ability for personal interaction
• 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 both broker dealer and registered investment advisor experience
• ACAMS certification
• JD is a plus

Benefits

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

About the company

iCapital is looking to hire a Compliance Assistant Vice President to join its Regulatory and Compliance team.