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About the Role

iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team. This role will support the team in ensuring adherence to applicable securities laws, regulations, and internal policies, with a focus on Canadian regulatory matters. The ideal candidate will have experience in regulatory compliance within the investment industry and a strong understanding of National Instrument requirements.

Responsibilities

Assist in the development, implementation, communication, maintenance, and monitoring of compliance policies and procedures to ensure adherence to securities regulations (i.e. NI 31-103, NI 81-103, and NI 45-106).
Foster a culture of compliance across the organization.
Establish strong working relationships with business partners and other stakeholders.
Collaborate with various departments within iCapital, to ensure alignment on compliance issues.
Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance.
Support the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings.
Manage the Canada Compliance Calendar and ensure that all due dates and responsible individuals or parties are held accountable.
Support regulatory audits, inquiries, and inspections by securities regulators, as required.
Monitor and track regulatory developments and update internal policies accordingly.
Assist with compliance training and attestations for employees, ensuring ongoing awareness of regulatory requirements and ethical standards.
Coordinate and organize board meetings, including preparation of packages and minutes.
Maintain compliance records and support the management of regulatory filings, certifications, and other compliance-related documents.
Contribute to the implementation and continuous improvement of programs, processes, policies, and tools to meet or exceed regulatory requirements, industry best practices, and achieve organizational goals.
Support the Canada Legal and Compliance team overall and provide back-up for the other members of the team.

Requirements

2-5 years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities
Bilingual in English and French
Compliance expertise in the private fund and investment management space
Experience with regulatory filings is a plus
Excellent analytical skills, attention to detail, and able to interpret regulatory requirements
Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
Strong written and verbal communication skills
Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
Strong computer skills, including MS Suite (i.e. Word, Excel, and PowerPoint, and DocuSign)

Skills

Regulatory compliance
National Instrument requirements
Securities laws
MS Suite (Word, Excel, PowerPoint, DocuSign)

Location

Canada

Work Type

Hybrid

Experience Level

Mid-level

Salary/Compensations

CAD 80,000 to CAD 95,000

Benefits

Salary
Equity for all full-time employees
Annual performance bonus
Employer matched retirement plan
Generously subsidized healthcare
100% employer paid dental
Vision
Telemedicine
Virtual mental health counseling
Parental leave
Unlimited paid time off (PTO)

About the Company

iCapital operates through several different international entities, many of which are licensed to conduct regulated activities.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us
Twitter: @icapitalnetwork
LinkedIn: https://www.linkedin.com/company/icapital-network-inc
Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

Equal Opportunity

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.