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Salary: USD 85,000 - 110,000 / annual
iCapital is seeking a Compliance Assistant Vice President to join its Regulatory and Compliance team. This role leads the review and approval process for investor AML (Anti-Money Laundering) and KYC (Know Your Customer) documentation, with a strong focus on private funds. You will ensure compliance with all AML and KYC regulatory requirements while supporting the Legal and Compliance teams on compliance-focused initiatives.
Key responsibilities include:
- Review investor and client AML and KYC documentation, client communications, quarterly reporting, and ongoing monitoring
- Perform third-party reliance testing and monitoring
- Collaborate across business lines on new initiatives, providing compliance guidance
- Conduct AML screening review and dispositions
- Assist in preparing for and responding to regulatory inquiries and audits
The role is hybrid, requiring in-office presence Monday–Thursday with remote flexibility on Fridays. You will work in a fast-paced environment supporting a growing fintech platform focused on alternative investments.
Qualifications:
- 5+ years of experience in alternatives, preferably with both broker-dealer and registered investment advisor (RIA) background
- Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933, and Cayman Islands Anti-Money Laundering Regulations
- AML and KYC knowledge specific to regulatory requirements for private fund investors
- Experience with AML screening resolution vendor tools (e.g., LexisNexis, Worldcheck, ComplyAdvantage)
- Excellent verbal communication skills with ability for personal interaction
- Ability to thrive in fast-paced environments with continuous learning mindset
- Self-motivated with strong project management and process development skills
- ACAMS certification preferred
- JD (Juris Doctor) is a plus
