Etf & 1940 Act Registered Funds Compliance Officer, Vice President

iCapital

Utah, United States
Base: $125,000 to $155,000; bonus/equity: annual p...
On-site (monday-thursday, remote on fridays)
Expert knowledge of investment company act of 1940
Experience with rule 38a-1 and rule 206(4)-7
Monitor regulatory developments affecting etfs
iCapital is seeking a Vice President Compliance Officer to manage compliance for their Exchange-Traded Funds (ETF) and 1940 Act Registered Funds. The role requires extensive experience in financial compliance, particularly with U.S. securities laws, along with a robust understanding of ETFs and related products

Job Summary

  • The role involves overseeing compliance programs for Exchange-Traded Funds and 1940 Act Registered Funds while advising stakeholders on product structuring and disclosures.
  • Candidates must have over 10 years of experience in financial services compliance with a robust understanding of derivatives and alternative assets.
  • The position offers a competitive salary range of $125,000 to $155,000 along with equity, performance bonuses, and comprehensive benefits including unlimited PTO.

Matching Summary

Match Score: 85

iCapital is seeking a Vice President Compliance Officer to manage compliance for their Exchange-Traded Funds (ETF) and 1940 Act Registered Funds. The role requires extensive experience in financial compliance, particularly with U.S. securities laws, along with a robust understanding of ETFs and related products.

Salary

Base: $125,000 to $155,000; Bonus/Equity: Annual performance bonus and equity for all full-time employees; Benefits: Employer matched retirement plan, subsidized healthcare, parental leave, and unlimited PTO

Skills & Requirements

Must-have

  • Expert knowledge of Investment Company Act of 1940
  • Experience with Rule 38a-1 and Rule 206(4)-7
  • Monitor regulatory developments affecting ETFs
  • Lead compliance efforts for fund launches
  • Conduct pre- and post-trade compliance monitoring

Nice-to-have

  • Skilled at developing team members through mentoring
  • Able to operate in a fast-paced environment
  • Detail oriented with ability to prioritize projects
  • Prior Broker or Dealer knowledge desired

Key Requirements

  • Bachelor's degree, Law Degree, or MBA preferred
  • 10+ years of compliance experience in financial services
  • FINRA Series 7 and 24 licenses preferred
  • Experience with SEC, CFTC, NFA, and FINRA regulations
  • Knowledge of U.S. securities laws and investment company acts

Work Rights

Not specified

Tailored Resume

Cover Letter