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Salary: USD 110,000 - 145,000 / annual
iCapital seeks a Compliance Officer to support investment advisers serving Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This role involves implementing and administering compliance programs for SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and related compliance activities.
Key Responsibilities:
- Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c-11
- Support administration of funds' compliance and governance frameworks
- Monitor compliance with fund governing documents and regulatory developments affecting ETFs, including derivatives, valuation, and liquidity rulemaking
- Identify regulatory risks, escalate issues, and develop practical solutions for ETF and Registered Funds initiatives
- Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies
- Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution
- Support trading oversight frameworks, including best execution governance
- Perform compliance testing, reporting, and remediation tracking
- Assist with compliance reviews of third-party service providers (administrators, custodians, legal counsel, auditors)
Workplace: Monday-Thursday in-office in Greenwich, Connecticut; remote flexibility on Fridays.
Qualifications:
- Bachelor's degree required
- 6+ years of compliance experience in financial services, including 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 interactions with 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 fast-paced environment
- Detail-oriented with ability to assess and prioritize multiple projects
