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Salary: USD 150,000 - 175,000 / annual
iCapital is seeking 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 of Registered Investment Advisers (RIAs) on compliance matters, with a primary focus on regulatory reporting obligations.
Key responsibilities include:
- Oversee preparation and submission of regulatory filings including Form D, blue-sky notices, Form ADV, Form PF, 34 Act filings, BE-185, and international filings
- Advise on regulatory developments affecting RIA filings and compliance obligations
- Own the end-to-end regulatory reporting process 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 of regulatory changes on firm activities and recommend solutions
- Liaise with internal and external stakeholders
- Mentor and develop team members
The role is based in New York with a hybrid schedule: in-office Monday-Thursday, with flexibility to work remotely 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 filings (Form D, blue-sky), and 1934 Act reports
- Excellent written and verbal communication skills
- Ability to thrive in fast-paced environments with continuous learning mindset
- Self-motivated with strong project management and process development skills
- Experience with SEC, FINRA, and NFA regulatory examinations, investigations, or interactions
- Experience evaluating risk and mapping risk/controls across firm practices
- Demonstrated ability to mentor and upskill team members
- Detail-oriented with strong project prioritization skills
