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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 matters for a fintech platform serving alternative investments.
Key responsibilities include liaising with business teams to collect and aggregate 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). The associate will develop, update, and implement procedures to ensure robust processes for regulatory submissions. The role requires monitoring and analyzing industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to assess impact on iCapital's activities and reporting requirements, with regular updates to senior management on material regulatory or operational changes.
The associate will collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency, while assisting with ad-hoc compliance matters as needed.
Required qualifications include 2–5 years of registered investment adviser experience, preferably in preparing regulatory filings. Candidates should have experience with alternative investments and understanding of compliance restrictions around private placements and SEC filings for private funds. The role requires comfort leading discussions and initiatives with senior internal and external stakeholders, ability to manage multiple deadlines and projects, strong organizational and detail-oriented skills with big-picture capability, strong interpersonal and leadership abilities, willingness to learn in an evolving environment, and proficiency in Microsoft Excel and Word with aptitude for new technologies.
The position offers a base salary of $70,000–$95,000, 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. Work schedule is in-office Monday–Thursday with remote flexibility on Friday.
