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About the Role
iCapital is seeking a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. This role will focus on regulatory reporting matters for Registered Investment Advisers (RIAs), working closely with senior leadership.
Responsibilities
- Oversee the preparation of regulatory filings including Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings.
- Advise on regulatory developments impacting RIA regulatory filings.
- Provide compliance leadership and manage the end-to-end regulatory reporting process.
- Assist with other compliance-related matters as needed.
- Develop and implement various compliance functions and tests.
- Leverage firm technology for internal and external reporting.
- Develop new procedures and amend existing ones.
- Monitor industry compliance initiatives and regulatory developments, analyzing their impact.
- Recommend solutions for regulatory challenges.
- Liaise with internal and external stakeholders.
Requirements
- Bachelor's degree in a related field.
- 8+ years of experience, primarily focused on private funds and registered investment advisers.
- Strong knowledge of reporting obligations for registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky), and reports under the 1934 Act.
- Excellent written and verbal communication skills.
- Ability to thrive in a fast-paced environment with a continuous learning mindset.
- Self-motivated with robust project management and process development skills.
- Experience with regulatory examinations, investigations, or interactions with the SEC, FINRA, and NFA.
- Experience evaluating risk and mapping risk and controls across firm practices.
- Skilled at developing other team members through mentoring or upskilling.
- Detail-oriented with the ability to assess and prioritize projects.
Location
- New York, NY
Work Type
- Hybrid
Experience Level
- Vice President
- 8+ years
Education Level
- Bachelor's degree
Salary/Compensations
- $150,000 to $175,000
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
- iCapital is a financial technology company.
- For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @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.