Regulatory & Compliance, Private Funds Marketing, Assistant Vice President
iCapital, Salt Lake City, UT, United States
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. The role primarily focuses on marketing materials for private funds. The ideal candidate will ensure compliance with all communications and advertising rules, work closely with the Distribution and Marketing teams, and generally assist the Legal and Compliance teams with various compliance‑focused tasks, including updates to policies and procedures, monitoring, and testing.
Responsibilities
Review marketing materials, client communications, diligence reports, research, and quarterly reporting 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 SEC and FINRA obligations.
Help prepare for and respond to inquiries and audits from regulatory authorities.
Qualifications
5+ years of experience, preferably with both broker‑dealer and registered investment advisor experience.
Strong knowledge of Rule 206(4)-1 of the Investment Advisers Act of 1940 and FINRA regulations on marketing.
Experience with alternative investments, primarily private funds, and 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.
Benefits The base salary range for this role is $85,000 to $110,000. iCapital offers a compensation package that includes salary, equity for all full‑time employees, and an annual performance bonus.
Employees also receive a comprehensive benefits package that includes an employer‑matched retirement plan, subsidized healthcare, 100% employer‑paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday‑Thursday, with the flexibility to work remotely on Friday.
iCapital is proud to be an Equal Employment Opportunity and Affiliation Employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
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Responsibilities
Review marketing materials, client communications, diligence reports, research, and quarterly reporting 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 SEC and FINRA obligations.
Help prepare for and respond to inquiries and audits from regulatory authorities.
Qualifications
5+ years of experience, preferably with both broker‑dealer and registered investment advisor experience.
Strong knowledge of Rule 206(4)-1 of the Investment Advisers Act of 1940 and FINRA regulations on marketing.
Experience with alternative investments, primarily private funds, and 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.
Benefits The base salary range for this role is $85,000 to $110,000. iCapital offers a compensation package that includes salary, equity for all full‑time employees, and an annual performance bonus.
Employees also receive a comprehensive benefits package that includes an employer‑matched retirement plan, subsidized healthcare, 100% employer‑paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday‑Thursday, with the flexibility to work remotely on Friday.
iCapital is proud to be an Equal Employment Opportunity and Affiliation Employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
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