Icapital

Actively Hiring

Others

Greenwich, United States

Hybrid

Role Overview

The Compliance Officer will support investment advisers serving Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds, assisting with the implementation and administration of compliance programs and regulatory activities.

About Icapital

iCapital is a leading financial technology company that powers the alternative investment marketplace, providing access to private markets for wealth managers and their clients.

Key Responsibilities

Maintain knowledge of regulations applicable to ETFs and 1940 Act Registered Funds
Support the administration of the funds’ compliance and governance framework
Monitor compliance with fund governing documents
Monitor regulatory developments affecting ETFs and assess their impact
Identify regulatory risks and develop practical solutions
Review fund marketing materials for regulatory consistency
Conduct post-trade compliance monitoring and portfolio guideline testing
Support trading oversight frameworks and best execution governance

Requirements & Eligibility

Bachelor’s degree
6+ years of compliance experience in the financial services industry
Experience with exchange-traded funds, derivatives, and alternative investments
Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs
Experience supporting regulatory examinations or investigations with SEC, FINRA, or NFA
Experience evaluating risk and mapping risks and controls
Ability to collaborate across functions and levels
Detail-oriented with strong project management skills

Required Skills & Tech

ComplianceRegulatory ReportingRisk ManagementInvestment Advisers ActInvestment Company ActSEC ComplianceFINRA ComplianceNFA/CFTC ComplianceDerivativesAlternative Investments