SlipstreamJobs tracks this role from the company's public career site. Apply directly on the employer's site.
Salary: USD 150,000 - 175,000 / annual
iCapital seeks a Vice President of Regulatory Reporting to lead the regulatory reporting function within the Regulatory and Compliance team. This role will partner closely with Senior Vice Presidents and Co-Chief Compliance Officers at Registered Investment Advisers (RIAs) on compliance matters, with primary focus on regulatory reporting obligations.
Key Responsibilities:
- Oversee preparation and filing of regulatory documents including Form D, blue-sky notices, Form ADV, Form PF, 34 Act filings, BE-185, and international equivalents
- Advise on regulatory developments affecting RIA filings and compliance obligations
- Own end-to-end regulatory reporting processes and provide compliance leadership
- Develop and implement compliance functions, tests, and procedures
- Leverage firm technology for internal and external reporting
- Monitor industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments; analyze impact on firm activities
- Recommend solutions to regulatory challenges
- Liaise with internal and external stakeholders
- Assist with broader compliance matters as needed
- Mentor and develop team members
The role is based in Greenwich, Connecticut, with in-office presence Monday–Thursday and remote flexibility on Friday.
Qualifications:
- Bachelor's degree in a related field
- 8+ years of experience primarily focused on private funds and registered investment advisers
- Strong knowledge of RIA reporting obligations (Form ADV, Form PF), private fund reporting (Form D, blue-sky), and 1934 Act reports
- Excellent written and verbal communication skills
- Ability to thrive in fast-paced environment with continuous learning mindset
- Self-motivated with robust project management and process development skills
- Experience with regulatory examinations, investigations, or interactions with SEC, FINRA, and NFA
- Experience evaluating risk and mapping risk/controls across firm practices
- Skilled at developing and mentoring team members
- Detail-oriented with ability to assess and prioritize projects
