Regulatory & Compliance, Private Funds Marketing, Assistant Vice President

icapitalnetwork

Utah, United States
Base: $85,000 to $110,000; bonus/equity: equity fo...
On-site, monday-thursday; remote on fridays.
Sec and finra compliance
Private funds marketing materials
Regulatory developments
iCapital is seeking an Assistant Vice President for its Regulatory and Compliance team, focused on reviewing and approving marketing materials for private funds to ensure compliance with SEC and FINRA regulations. The ideal candidate should have over five years of relevant experience, particularly in broker-dealer and investment advisory roles

Job Summary

  • iCapital is looking for a Compliance Assistant Vice President to lead the review and approval process for marketing materials, with a strong focus on private funds.
  • Responsibilities include reviewing marketing materials for SEC and FINRA compliance, performing compliance testing, and collaborating across business lines to provide guidance.
  • The company offers a comprehensive benefits package including salary, equity, annual bonus, employer-matched retirement plan, subsidized healthcare, and unlimited PTO.

Matching Summary

Match Score: 85

iCapital is seeking an Assistant Vice President for its Regulatory and Compliance team, focused on reviewing and approving marketing materials for private funds to ensure compliance with SEC and FINRA regulations. The ideal candidate should have over five years of relevant experience, particularly in broker-dealer and investment advisory roles.

Salary

Base: $85,000 to $110,000; Bonus/Equity: Equity for all full-time employees and an annual performance bonus; Benefits: Comprehensive benefits package including employer matched retirement plan, generously subsidized healthcare, unlimited paid time off (PTO)

Skills & Requirements

Must-have

  • SEC and FINRA compliance
  • Private funds marketing materials
  • Regulatory developments
  • Policy and procedure updates

Nice-to-have

  • Fast-paced environment
  • Continuous learning mindset
  • Project management skills

Key Requirements

  • 5+ years of experience
  • Broker dealer and registered investment advisor experience
  • Knowledge of Rule 206(4)-1 and FINRA marketing regulations
  • Experience with alternative investments and private funds
  • JD is a plus

Work Rights

Not specified

Tailored Resume

Cover Letter