Regulatory & Compliance - Assistant Vice President
External
Icapitalnetwork · Salt Lake City, UTPrepare for this interview
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About the role
iCapital is looking for a Compliance Assistant Vice President to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer. There will be a strong focus on marketing materials for private funds. The ideal candidate will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance teams with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.
Responsibilities
- Review of marketing materials, client communications, diligence reports, research and quarterly reporting, among other materials for SEC and FINRA compliance.
- Perform compliance testing and monitoring for marketing related materials.
- Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
- Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives.
- Contribute to developing and conducting company-wide training to meet both SEC and FINRA obligations.
- Help prepare for and respond to inquiries and audits from regulatory authorities.
Requirements
- Bachelor's degree in a related field
- 5+ years of experience, preferably with both broker dealer and registered investment advisor experience
- Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
- Experience with alternative investments, primarily private funds, as well as an understanding of compliance restrictions around private placements and registered products
- Excellent verbal and interpersonal communication skills
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- JD is a plus
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