About The Role

iCapital is seeking an Assistant Vice President to join the Regulatory and Compliance team. This role will assist with a variety of international offerings activities, both at the firm level and for investment vehicles as well as conduct compliance marketing materials review on a wide variety of communications. The ideal candidate is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent communication skills.

Responsibilities

Ensure communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules. Conduct compliance monitoring programs relating to marketing materials, including updates to disclosure language. Coordinate with external counsel to obtain and incorporate regulatory guidance for marketing materials.

Assist in maintaining and overseeing the compliance program for a registered investment adviser. Update and enhance policies and procedures and support ongoing compliance training initiatives. Support the preparation for, and response to, regulatory inquiries, examinations, and audits.

Contribute to additional Regulatory and Compliance initiatives and ad hoc projects, as needed.

Qualifications

Benefits

The base salary range for this role is $110,000 to $140,000.

package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

Compensation

package which includes salary, equity for all full-time employees, and an annual performance bonus.

Equal Employment Opportunity

and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Regulatory and Compliance - Assistant Vice President