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About the Role
iCapital is seeking a Compliance Associate to join its Regulatory and Compliance team. This role will lead the review and approval process for investor AML and KYC, focusing on private funds, and ensure adherence to all regulatory requirements. The Associate will also support the Legal and Compliance teams with various compliance tasks.
Responsibilities
- Review investor and client AML and KYC documentation, client communications, quarterly reporting, and ongoing monitoring.
- Perform third-party reliance testing and monitoring.
- Collaborate with various business lines on new initiatives, providing compliance guidance.
- Conduct AML screening review and dispositions.
- Assist in preparing for and responding to inquiries and audits.
Requirements
- 1-4 years of alternatives experience, preferably with both broker-dealer and registered investment advisor experience.
- Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933, and Cayman Islands Anti-Money Laundering Regulations.
- AML and KYC knowledge of regulatory requirements for private fund investors.
- Experience with AML screening resolution vendor tools (e.g., LexisNexis, Worldcheck, ComplyAdvantage).
- Excellent verbal communication skills with the ability for personal interaction.
- Ability to thrive in a fast-paced environment with a continuous learning mindset.
- Self-motivated with robust project management and process development skills.
Skills
- AML
- KYC
- Project Management
- Process Development
Location
- New York, NY
Work Type
- Hybrid
Experience Level
- 1-4 years
Education Level
- ACAMS certification preferred
- JD is a plus
Salary/Compensations
- $85,000 - $110,000
Benefits
- Salary, equity for all full-time employees, and an 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.