ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President

The role

This individual will assist with the implementation and administration of compliance programs for SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities. The role supports investment advisers serving Exchange-Traded Funds, Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds.

What you will do

• Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers
• Support the administration of the funds compliance and governance framework
• Assist in monitoring compliance with fund governing documents
• Monitor regulatory developments affecting ETFs and assist in assessing their impact
• Support ETF and Registered Funds initiatives by identifying regulatory risks and helping develop solutions
• Review fund marketing materials for consistency with disclosures, governing documents, regulatory requirements, and internal policies
• Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution
• Support trading oversight frameworks, including best execution governance
• Perform compliance testing, reporting, and remediation tracking
• Assist with compliance reviews of third-party service providers

Required qualifications

• Bachelor's degree
• 6+ years of compliance experience in the financial services industry, including experience with exchange-traded funds, derivatives, alternative investments, and the applicable regulatory landscape
• Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements
• Experience supporting regulatory examinations, investigations, or other interactions with the SEC, FINRA, or NFA
• Experience evaluating risk and mapping risks and controls across business practices
• Able to collaborate with and provide guidance to colleagues across functions and levels
• Able to operate effectively in a fast-paced environment
• Detail-oriented, with the ability to assess and prioritize multiple projects

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.