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About the Role
The Senior Vice President of ERISA Compliance will lead iCapital's enterprise-wide compliance program for ERISA, DOL regulations, prohibited transaction exemptions, and QPAM compliance. This role is the primary subject matter expert for ERISA regulatory obligations impacting iCapital's registered investment advisers, collective investment trusts (CITs), retirement-focused investment products, and retirement-plan clients. The individual will collaborate with various departments to develop and maintain policies, procedures, testing programs, training, and governance frameworks to ensure compliance with ERISA fiduciary standards and QPAM exemption requirements. This role is key in regulatory examinations, new product launches, and transaction reviews.
Responsibilities
- Develop, maintain, and enhance ERISA compliance policies, procedures, controls, and monitoring programs.
- Provide regulatory guidance on fiduciary duties, plan-asset rules, prohibited transactions, party-in-interest restrictions, and applicable exemptions.
- Advise business stakeholders on ERISA implications of investment products, distribution activities, service arrangements, and operational processes.
- Monitor legal and regulatory developments from the Department of Labor, IRS, SEC, and other regulatory authorities and assess impacts on the business.
- Design and administer risk-based compliance reviews relating to ERISA and retirement-plan business activities.
- Implement monitoring programs, testing protocols, certifications, and issue-management processes.
- Oversee the firm's ongoing compliance with the Qualified Professional Asset Manager (QPAM) Exemption and related requirements.
- Maintain and execute QPAM monitoring and testing programs, including annual and periodic certifications.
- Coordinate reviews of QPAM eligibility criteria, including assets under management, shareholder equity, affiliate requirements, and integrity standards.
- Establish and maintain documentation evidencing compliance with QPAM conditions and regulatory requirements.
- Partner with Legal and business stakeholders regarding transactions that may rely on the QPAM exemption or other prohibited transaction exemptions.
Requirements
- Bachelor's degree required
- 10+ years of experience in investment adviser, asset management, retirement, ERISA, legal, or compliance functions
- Deep knowledge of ERISA fiduciary standards, prohibited transaction rules, and Department of Labor regulations
- Familiar with collective investment trusts (CITs), private funds, alternative investments, and institutional asset management
- Experience developing compliance programs, controls, testing frameworks, and governance processes.
- Strong analytical, communication, and problem-solving skills
- Experience with QPAM compliance programs and prohibited transaction exemptions
Work Type
- Hybrid
Experience Level
- Senior
Education Level
- Bachelor's degree
- J.D., MBA, or other advanced degree is preferred
Salary/Compensations
- $190,000 to $230,000
Benefits
- Equity for all full-time employees
- Annual performance bonus
- Employer matched retirement plan
- Generously subsidized healthcare
- 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
- Parental leave
- Unlimited paid time off (PTO)
About the 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.