The job, in the employer's words
About the Role
iCapital is looking to hire a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. This position will work closely with the Senior Vice Presidents and Co-Chief Compliance Officers of the Registered Investment Advisers (RIAs) on a variety of compliance matters, most specifically those pertaining to regulatory reporting.
Responsibilities
- Oversee the preparation of regulatory filings including, but not limited to, Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky.
- Advise on regulatory developments affecting regulatory filings of RIAs.
- Provide compliance leadership and own the end-to-end process of regulatory reporting.
- Assist with other compliance-related matters as needed.
- Develop and implement various compliance functions and tests.
- Leverage firm technology to assist in both internal and external reporting.
- Develop new procedures and amend existing ones as needed.
- Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses on how such developments impact our activities.
- Recommend solutions to resolve regulatory challenges.
- Liaise with other internal and external stakeholders.
Qualifications
- Bachelor's degree in a related field
- 8+ years of experience, primarily focused on private funds and registered investment advisers
- Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky) and reports required under the 1934 Act
- Excellent written and verbal communication skills
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
- Experience evaluating risk and mapping risk and controls across firm practices
- Skilled at developing other team members through mentoring or helping upskill
- Detail oriented with and able to assess and prioritize projects
Benefits
The base salary range for this role is $150,000 to $175,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Benefits mentioned
- The base salary range for this role is $150,000 to $175,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
- We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
- For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
- iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Requirements mentioned
- Bachelor's degree in a related field
- 8+ years of experience, primarily focused on private funds and registered investment advisers
- Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky) and reports required under the 1934 Act
- Excellent written and verbal communication skills
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
- Experience evaluating risk and mapping risk and controls across firm practices
- Skilled at developing other team members through mentoring or helping upskill
- Detail oriented with and able to assess and prioritize projects
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