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Salary: USD 110,000 - 145,000 / annual
iCapital seeks a Regulatory and Compliance Assistant Vice President to join its Regulatory and Compliance team, leading the review and approval process for investor AML (Anti-Money Laundering) and KYC (Know Your Customer) compliance with a strong private fund focus. This role ensures compliance with all AML and KYC regulatory requirements and assists the Legal and Compliance teams with compliance-focused initiatives.
Key Responsibilities:
- 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 operates in a fast-paced environment with Monday-Thursday in-office presence and Friday remote flexibility. You will work closely with Legal and Compliance teams to maintain regulatory standards and support business growth in the alternatives investment space.
Requirements:
- 5+ years of alternatives experience, preferably with both broker-dealer and registered investment advisor (RIA) experience
- Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933, and Cayman Islands Anti-Money Laundering Regulations
- AML and KYC knowledge of 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
- Self-motivated with robust project management and process development skills
- Ability to thrive in a fast-paced environment with continuous learning mindset
- ACAMS certification preferred
- JD (Juris Doctor) a plus
