ETF and 1940 Act Registered Funds Compliance Officer - Vice President

The role

This person will oversee investment advisers supporting ETF, Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. They will assist in implementing and administering compliance programs for SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other related entities.

What you will do

• Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds.
• Oversee the administration of the Fund's compliance and governance framework.
• Assist in monitoring compliance with fund governing documents.
• Advise on regulatory developments affecting ETFs.
• Provide compliance leadership and support for ETF and Registered Funds initiatives.
• Advise stakeholders on product structuring, operations, investment strategies, and disclosures.
• Review fund marketing materials for consistency with disclosures and regulatory requirements.
• Translate regulatory requirements into scalable policies, procedures, and compliance controls.
• Oversee product-specific compliance obligations.
• Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution.

Required qualifications

• Bachelor’s degree
• 10+ years of compliance experience in the financial services industry
• Experience with exchange-traded funds, derivatives, and alternatives
• Knowledge of U.S. securities laws including Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934
• Knowledge of SEC, CFTC, NFA and FINRA regulations
• Experience with investment company, investment adviser, and NFA or CFTC compliance programs
• Experience with Rule 38a-1 and Rule 206(4)-7
• Experience with regulatory examinations, investigations or interactions with the SEC, FINRA and NFA
• Experience evaluating risk and mapping risk and controls across firm practices
• Skilled at developing other team members through mentoring or helping upskill
• Able to operate in a fast-paced environment
• Detail oriented with the ability to assess and prioritize projects

Nice to have

• Law Degree
• MBA
• FINRA Series 7 license
• FINRA Series 24 license

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• 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 an Equal Employment Opportunity and Affirmative Action employer.