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Salary: USD 150,000 - 180,000 / annual
iCapital seeks a Compliance Officer (Vice President) to oversee compliance programs for the firm's Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This role involves managing compliance for SEC Registered Investment Advisers, Investment Company Act entities, NFA and CFTC registered Commodity Pools, and related regulatory activities.
Key responsibilities include:
- Maintaining expert knowledge of ETF and 1940 Act Registered Funds regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c-11
- Overseeing administration of the Fund's compliance and governance framework
- Monitoring compliance with fund governing documents
- Advising on regulatory developments affecting ETFs, including derivatives, valuation, and liquidity
- Providing compliance leadership and support for ETF and Registered Funds initiatives, identifying regulatory risks and developing practical solutions
- Advising Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures
- Reviewing fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies
- Translating regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls
- Overseeing product-specific compliance obligations, including disclosure monitoring, premium/discount reporting, and regulatory filings
- Conducting post-trade compliance monitoring, portfolio guideline testing, and issue resolution
- Supporting trading oversight frameworks, including best execution governance
- Performing compliance testing, reporting, and remediation tracking
- Overseeing and coordinating compliance reviews of third-party service providers (administrators, custodians, legal counsel, auditors)
The role is hybrid: in-office Monday–Thursday, with remote flexibility on Friday.
QUALIFICATIONS:
- Bachelor's degree required; Law Degree or MBA preferred
- 10+ years of compliance experience in financial services, including robust understanding of exchange-traded funds, derivatives, alternatives, and the regulatory landscape
- Demonstrated knowledge of U.S. securities laws: Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and SEC, CFTC, NFA, and FINRA regulations
- Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
- Strong experience with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
- Experience with regulatory examinations, investigations, or interactions with the SEC, FINRA, and NFA
- Experience evaluating risk and mapping risk and controls across firm practices
- Skilled at developing team members through mentoring or upskilling
- Ability to operate in a fast-paced environment
- Detail-oriented with ability to assess and prioritize projects
- FINRA Series 7 and 24 licenses preferred
