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Salary: USD 155,000 - 185,000 / annual
iCapital seeks a Vice President of Investor Onboarding and Regulatory Review to lead the Subscription Document Review team within its Regulatory and Compliance department. This role focuses on reviewing and ensuring compliance of investor subscription materials with federal securities laws, including the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Exchange Act of 1934, and FINRA Rules.
Key responsibilities include leading the subscription document review team, managing client relationships and engagements, reviewing and maintaining investor subscription materials (subscription booklets, indexes, related documentation), creating and maintaining client and investor reporting systems to track subscriptions and deadlines, updating rules of engagement for fund sponsors and law firm fund formation departments, communicating with investment relations teams on fundraises and investor issues, and providing deficiency comments on subscription materials.
The ideal candidate brings 8-15+ years of experience in alternatives, with expertise in private funds and registered investment advisor operations. Required qualifications include experience in fund structuring and formation, reviewing governing documents for alternative and registered funds, knowledge of investor governing documents (LLC agreements, trust agreements), and deep knowledge of the Investment Company Act of 1940 and Securities Act of 1933. AML/KYC regulatory knowledge is a plus. The role requires excellent verbal communication, strong interpersonal skills, professionalism in client-facing and internal interactions, ability to thrive in fast-paced environments, self-motivation, and robust project management capabilities. A JD is preferred but not required.
The position is hybrid, with in-office presence Monday-Thursday and remote flexibility on Friday. Compensation includes base salary of $155,000-$185,000, equity for all full-time employees, annual performance bonus, employer-matched retirement plan, subsidized healthcare (100% employer-paid dental and vision), telemedicine, virtual mental health counseling, parental leave, and unlimited PTO.
