Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President New York, New

Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President New York, New York, United States About the Role iCapital is looking for a Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, 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. Qualifications 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 The base salary range for this role is $155,000 to $185,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. iCapital is proud to be an Equal Employment Opportunity and Aff… iCapital is an office-first culture, as such all employees are required to work in the office Monday-Thursday, with the flexibility to work remotely on Friday, depending on the department. Please review the job description before applying, to identify the specified location/s for the role. * Miami, FL New York, NY Princeton, NJ Salt Lake City, UT Stamford, CT This only applies to U.S. based roles. #J-18808-Ljbffr iCapital Network, Inc.