Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President
iCapital
$155,000 - $185,000 / year
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Description
About the Role
iCapital is looking for a Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.
Responsibilities
- Lead the Subscription Document Review team.
- Manage client engagements and relationships.
- Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
- Create and maintain client and investor reporting tracking investor subscriptions, deadlines, and transaction-related data.
- Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
- Communicate with investment relation teams on ongoing fundraises and investor issues.
- Provide deficiency comments for investor subscription materials.
Qualifications
- 8-15+ years of alternatives experience, preferably with private funds and registered investment advisor experience.
- Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds.
- Experience reviewing governing documents for investors, e.g., limited liability company agreements and trust agreements.
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
- AML/KYC knowledge of regulatory requirements for private fund investors is a plus but not required.
- Excellent verbal communication skills and strong ability for personal interaction.
- Professionalism both client-facing and internally.
- Thrives in a fast-paced environment with a continuous learning mindset.
- Self-motivated with robust project management and process development skills
- JD a plus, but not required
Benefits
The base salary range for this role is $155,000 to $185,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits 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.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an 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.
About this role
iCapital's Regulatory and Compliance team is seeking a Vice President to lead investor onboarding and regulatory review for private and registered fund investments. You'd oversee a subscription document review team, ensuring all investor materials comply with federal securities laws including the Investment Company Act, Securities Act, and FINRA rules. The role combines regulatory expertise with client relationship management—you'll review subscription documents, provide deficiency comments, maintain tracking systems for investor data and deadlines, and communicate directly with investment relations teams and fund sponsors on ongoing fundraises and compliance issues.
This position requires 8 to 15+ years in alternatives, with demonstrated experience in private funds, registered investment advisors, and fund formation. You should be comfortable reviewing governing documents like LLC agreements and trust agreements, and have solid knowledge of the Investment Company Act and Securities Act. AML/KYC expertise is valued but not required. The role demands strong communication skills, client-facing professionalism, and the ability to manage projects and develop processes in a fast-paced environment. A JD is a plus but not necessary.
Based in New York, you'll work in-office Monday through Thursday with Friday remote flexibility. The salary range is $155,000 to $185,000, plus equity, performance bonus, matched retirement, and comprehensive benefits including subsidized healthcare, parental leave, and unlimited PTO.
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Pay for this role
$155,000 to $185,000 per year
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