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iCapital is seeking a Vice President of Regulatory & Compliance to join its International Regulatory & Compliance Team in London. This role supports a broad range of regulatory, compliance, corporate governance, and risk management activities across the firm's UK and EMEA operations.
The successful candidate will work closely with senior members of the International Regulatory & Compliance Team to maintain and enhance the firm's compliance framework, support regulatory obligations, and partner with business teams to ensure UK & EMEA offices operate within applicable regulations.
Key responsibilities include:
- Developing and enhancing the UK and EMEA Compliance Framework, including policies, procedures, and regulatory inventories
- Monitoring regulatory developments and advising business stakeholders on UK, European, and Middle East regulatory requirements, including cross-border distribution
- Providing compliance guidance and reviews of financial promotions, distribution activities, conflicts of interest, AML/CFT, and staff compliance
- Conducting risk-based assessments, compliance monitoring and testing, and supporting remediation of identified issues
- Overseeing compliance training delivery and maintaining training records
- Supporting regulatory reporting and governance obligations, including FCA filings and board attendance
- Maintaining corporate governance records, regulatory registers, board documentation, and supporting responses to regulatory enquiries and audits
- Assisting with financial crime and employee compliance programmes, including third-party onboarding, AML/CFT, sanctions, personal account dealing, gifts and entertainment, and investigations
- Improving compliance processes and controls through responsible use of AI and technology
- Working with senior management, colleagues, regulators, and external stakeholders to identify and mitigate regulatory and compliance risks
The role reports to International Regulatory & Compliance leadership and works closely with Legal, Risk, Client Solutions, Product, Operations, Finance, and Corporate Governance functions. The candidate must hold FCA approval to carry out the SMF17 Money Laundering Reporting Officer (MLRO) Senior Management Function.
Workplace arrangement: Monday–Thursday in office, with flexibility to work remotely on Friday.
Qualifications:
- 6–10 years of experience in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting within financial services
- Strong understanding of FCA regulatory requirements applicable to licensed firms, including SMCR, Conduct of Business Rules, financial promotions, AML/CFT, and governance obligations
- Experience supporting regulatory reporting, financial promotion reviews, compliance monitoring, risk assessment, and compliance advisory activities
- Familiarity with UK and European regulatory requirements applicable to regulated financial services firms, including cross-border distribution considerations
- Collaborative, proactive, and adaptable team player able to manage competing priorities in a fast-paced environment
- Understanding of financial crime requirements, including AML, sanctions, and KYC obligations
- Experience developing or supporting compliance training and monitoring programmes
- Excellent written and verbal communication, analytical, and organizational skills
- Knowledge of private markets, investment funds, wealth management, or fund distribution (advantageous)
- Advanced Microsoft Office skills; experience with compliance technology platforms and workflow management systems (advantageous)
