Regulatory Reporting - Vice President

The role

The Vice President of Regulatory Reporting will work with Senior Vice Presidents and Co-Chief Compliance Officers on compliance matters. This person will own the end-to-end process of regulatory reporting for Registered Investment Advisers.

What you will do

• Oversee the preparation of regulatory filings including Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings.
• Advise on regulatory developments affecting regulatory filings of RIAs.
• Provide compliance leadership and own the end-to-end process of regulatory reporting.
• Assist with other compliance-related matters as needed.
• Develop and implement various compliance functions and tests.
• Leverage firm technology to assist in both internal and external reporting.
• Develop new procedures and amend existing ones as needed.
• Monitor industry-wide compliance initiatives and regulatory developments.
• Recommend solutions to resolve regulatory challenges.
• Liaise with other internal and external stakeholders.

Required qualifications

• Bachelor's degree in a related field
• 8+ years of experience, primarily focused on private funds and registered investment advisers
• Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky) and reports required under the 1934 Act
• Excellent written and verbal communication skills
• Able to thrive in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Experience with regulatory examinations, investigations or other interactions specifically 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
• Detail oriented with and able to assess and prioritize 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 looking to hire a Vice President of Regulatory Reporting to join the Regulatory and Compliance team.