Regulatory and Compliance, Regulatory Reporting - Associate

About the role

iCapital is looking to hire a Regulatory Reporting Associate to join the Regulatory and Compliance team. This position will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers of our Registered Investment Advisers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Responsibilities

• Assist and oversee preparation of regulatory filings including, but not limited to, Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky.
• Assist with other compliance-related matters as needed.
• Develop and implement various compliance functions and tests.
• Leverage firm technology to assist in both internal and external reporting.
• Develop new procedures and amend existing ones as needed.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses on how such developments impact our activities.
• Recommend solutions to resolve regulatory challenges.
• Liaise with other internal and external stakeholders.

Requirements

• Bachelor's degree in a related field
• 2-5 years of experience, primarily focused on private funds and registered investment advisers
• Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky) and reports required under the 1934 Act
• Excellent verbal communication skills and strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills

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