Regulatory And Compliance, Latam - Assistant Vice President / Vice President

Icapitalnetwork

Miami, United States
Base: $135,000 to $175,000; bonus/equity: equity f...
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Distribution compliance latin america
Finra rules and u.s. securities laws
Cross border solicitation rules
** iCapital is seeking an Assistant Vice President or Vice President for its Regulatory and Compliance team, focusing on distribution compliance for alternative investment products in Latin America. The ideal candidate will have extensive experience in compliance within financial markets, particularly with U.S. regulations and Latin American jurisdictions. **

Job Summary

  • The candidate will provide compliance advisory and supervisory support for the firm’s distribution of alternative investment products across Latin American markets.
  • This position partners closely with the Distribution, Legal, Product, and Global Compliance teams to ensure distribution, marketing, and investor communications comply with applicable rules and laws.
  • The base salary range for this role is $135,000 to $175,000, with compensation including salary, equity, and an annual performance bonus, plus a comprehensive benefits package.

Matching Summary

Match Score: 75

** iCapital is seeking an Assistant Vice President or Vice President for its Regulatory and Compliance team, focusing on distribution compliance for alternative investment products in Latin America. The ideal candidate will have extensive experience in compliance within financial markets, particularly with U.S. regulations and Latin American jurisdictions. **

Salary

Base: $135,000 to $175,000; Bonus/Equity: Equity for all full-time employees, annual performance bonus; Benefits: Comprehensive benefits package including employer matched retirement plan, subsidized healthcare, paid dental, vision, telemedicine, virtual mental health counseling, parental leave, and unlimited PTO

Skills & Requirements

Must-have

  • Distribution compliance Latin America
  • FINRA rules and U.S. securities laws
  • Cross border solicitation rules
  • Private placement regimes
  • Regulation D and Regulation S
  • Written supervisory procedures

Nice-to-have

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

Key Requirements

  • 7-10+ years of experience
  • Broker dealer and registered investment advisor experience
  • Strong working knowledge of FINRA rules
  • SEC regulations
  • Cross-border offering frameworks
  • Experience supporting private placement distribution in Latin America
  • Bilingual proficiency (English and Spanish) preferred
  • JD is a plus

Work Rights

Not specified

Tailored Resume

Cover Letter