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 ETF, Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses.

What you will do

• Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds.
• 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 developing solutions.
• Review fund marketing materials for consistency with disclosures and regulatory requirements.
• 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 degree
• 6+ years of compliance experience in the financial services industry
• 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
• 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.