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Salary: USD 110,000 - 145,000 / annual
iCapital is seeking a Compliance Officer to support its Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This role will assist with implementing and administering compliance programs for the firm's SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and related compliance activities.
Key responsibilities include maintaining working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c-11. You will support administration of the funds' compliance and governance framework, assist in monitoring compliance with fund governing documents, and monitor regulatory developments affecting ETFs including derivatives, valuation, and liquidity rulemaking.
The role involves supporting ETF and Registered Funds initiatives by identifying regulatory risks, escalating issues, and developing practical solutions. You will review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, coordinating approvals with relevant stakeholders. Additional responsibilities include conducting post-trade compliance monitoring, portfolio guideline testing, issue resolution, and supporting trading oversight frameworks including best execution governance. You will perform compliance testing, reporting, and remediation tracking to support timely issue resolution, and assist with compliance reviews of third-party service providers including administrators, custodians, legal counsel, and auditors.
The position is hybrid, with office attendance Monday-Thursday and remote work flexibility on Friday.
QUALIFICATIONS:
- Bachelor's degree required
- 6+ years of compliance experience in financial services, including experience with exchange-traded funds, derivatives, alternative investments, and applicable regulatory landscape
- Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements
- Experience supporting regulatory examinations, investigations, or other interactions with the SEC, FINRA, or NFA
- Experience evaluating risk and mapping risks and controls across business practices
- Ability to collaborate with and provide guidance to colleagues across functions and levels
- Ability to operate effectively in a fast-paced environment
- Detail-oriented with ability to assess and prioritize multiple projects
