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About the Role
iCapital is seeking a Regulatory Reporting Associate to join the Regulatory and Compliance team, focusing on regulatory reporting matters under the guidance of the Vice President of Regulatory Reporting and Co-Chief Compliance Officers.
Responsibilities
- Collect and aggregate data from business teams to prepare and submit U.S. and international regulatory filings (e.g., Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, Regulation D, blue-sky filings).
- Develop, update, and implement procedures for robust regulatory filing processes.
- Monitor and analyze industry compliance initiatives and regulatory developments for potential impact on iCapital's activities and reporting requirements, discussing changes with senior management.
- Inform senior management of material regulatory or operational changes.
- Collaborate with stakeholders to enhance data quality, processes, operational readiness, scalability, and efficiency.
- Assist with ad-hoc compliance-related matters.
Requirements
- 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings.
- Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds.
- Comfortable leading discussions and initiatives with senior internal and external stakeholders.
- Ability to manage multiple deadlines and projects.
- Organized and detail-oriented with big-picture capability.
- Strong interpersonal and leadership skills.
- Willingness to learn new topics and work in an evolving business environment.
- Proficiency in Microsoft Excel and Microsoft Word.
- Aptitude to quickly learn additional technologies.
Skills
- Microsoft Excel
- Microsoft Word
Location
- New York, NY
Work Type
- Hybrid
Experience Level
- 2-5 years
Salary/Compensations
- $70,000 to $95,000
Benefits
- Salary
- Equity for all full-time employees
- Annual performance bonus
- Employer matched retirement plan
- Generously subsidized healthcare
- 100% employer paid dental
- 100% employer paid vision
- 100% employer paid telemedicine
- 100% employer paid virtual mental health counseling
- Parental leave
- Unlimited paid time off (PTO)
About the Company
- iCapital is a leading global technology platform for the alternative investment industry.
- 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.