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Salary: USD 70,000 - 95,000 / annual
iCapital seeks a Regulatory Reporting Associate to join its Regulatory and Compliance team, reporting to the Vice President of Regulatory Reporting and Co-Chief Compliance Officers. The role focuses on regulatory compliance and reporting for a fintech platform serving alternative investment managers.
Key responsibilities include liaising with business teams to collect, aggregate, and prepare data for U.S. and international regulatory filings (Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, Regulation D, and blue-sky filings). You will develop and implement procedures to ensure robust regulatory filing processes, monitor industry-wide compliance initiatives and regulatory developments to assess impact on iCapital's operations, and inform senior management of material regulatory or operational changes.
The role requires collaboration with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency. You will also assist with ad-hoc compliance matters as needed.
Required qualifications include 2–5 years of registered investment adviser experience, preferably with regulatory filing preparation. You should have experience with alternative investments and understand compliance restrictions around private placements and SEC filings for private funds. Strong interpersonal and leadership skills are essential, along with the ability to lead discussions with senior stakeholders, manage multiple deadlines and projects, and maintain strong attention to detail while seeing the big picture. Proficiency in Microsoft Excel and Word, plus aptitude for learning new technologies, is required.
The base salary range is $70,000–$95,000, with equity for all full-time employees and annual performance bonuses. Benefits include an employer-matched retirement plan, subsidized healthcare (100% employer-paid dental and vision), telemedicine, virtual mental health counseling, parental leave, and unlimited PTO. The role is hybrid: in-office Monday–Thursday with remote flexibility on Friday.
