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About the Role

iCapital is seeking a Subscription Document Review AVP for its Regulatory and Compliance team. This role involves reviewing investor subscription materials for private and registered funds to ensure compliance with relevant securities laws and FINRA rules.

Responsibilities

Lead the Subscription Document Review team.
Manage client engagements and relationships.
Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
Create and maintain client and investor reporting tracking investor subscriptions, deadlines, and transaction-related data.
Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
Communicate with investment relation teams on ongoing fundraises and investor issues.
Provide deficiency comments for investor subscription materials.

Requirements

8-15+ years of alternatives experience, preferably with private funds and registered investment advisor experience.
Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds.
Experience reviewing governing documents for investors, e.g., limited liability company agreements and trust agreements.
Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
AML/KYC knowledge of regulatory requirements for private fund investors is a plus but not required.
Excellent verbal communication skills and strong ability for personal interaction.
Professionalism both client-facing and internally.
Thrives in a fast-paced environment with a continuous learning mindset.
Self-motivated with robust project management and process development skills.
JD a plus, but not required.

Skills

Subscription Document Review
Regulatory Compliance
Investment Company Act of 1940
Investment Advisers Act of 1940
Securities Act of 1933
Exchange Act of 1934
FINRA Rules
Fund Structuring
Fund Formation
Governing Document Review
AML/KYC
Project Management
Process Development

Location

New York, NY

Work Type

Hybrid

Experience Level

8-15+ years

Education Level

Juris Doctor (JD) a plus, but not required

Salary/Compensations

$155,000 to $185,000

Benefits

Salary, equity for all full-time employees, and an annual performance bonus.
Employer matched retirement plan.
Generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling.
Parental leave.
Unlimited paid time off (PTO).

About the Company

iCapital is a financial technology company.
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.