Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President
$155k - $185kiCapital Network
About the RoleiCapital is looking for an 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. ResponsibilitiesLead 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.Provide deficiency comments for investor subscription materials.Qualifications8-15+ 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 skillsJD a plus, but not required BenefitsThe 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.For additional information on iCapital, please visit Twitter: @icapitalnetwork | LinkedIn: | Awards Disclaimer: 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.
$240k - $280k
...RoleiCapital is seeking a Senior Vice President to join its Legal Department... ...1940 Act product launch and regulatory program. This role will work... ...Finance, and Regulatory and Compliance Team members on a variety of... ...the 1940 Act.Draft and review of registered fund offering...SuggestedFull timeWork at officeRemote work$130k - $150k
...investment management firm. As quantitative investors, research is the foundation of... ...-oriented professional to join our Compliance Marketing Review team at the Associate level,... ...materials to ensure compliance with regulatory requirements and internal standards....SuggestedAfternoon shift$155k - $180k
...hire a Fund Origination Vice President to support its growing... ...product structuring, manager onboarding and fund lifecycle... ...aligned with client, regulatory, and commercial requirements... ...internal Legal and Compliance teams to obtain required reviews and approvals.Lead the...SuggestedFull timeWork at officeRemote work- ...Vice President, Data Compliance About the Company Global investment firm focused on compliance, governance, and... ...and AI use, conducting legal and compliance reviews of data providers and AI tools, and monitoring regulatory developments to provide guidance to stakeholders...Suggested
$80k - $140k
...complex client situations, and communicating regulatory and legislative developments to internal... ...of assigned accounts.Monitor and review account transactions, disbursements and... ...State StreetAcross the globe, institutional investors rely on us to help them manage risk,...SuggestedFull timeTemporary workFlexible hours$120k - $202.5k
...with the firm's risk appetite, regulatory expectations, and strategic... ..., and sound regulatory compliance.You will help build and enhance... ...Lead independent market risk reviews of new products, business... ...StreetAcross the globe, institutional investors rely on us to help them...Full timeTemporary workFlexible hours- ...Associate Vice President, Supplier Risk & Analytics Program Manager About the Company Rapid-growing financial services organization... ...diligence activities, strengthening quality assurance and regulatory compliance, and developing program documentation, reporting, and...
$221k - $353k
...Title and Summary Vice President, Total Rewards, Executive... ...interests, regulatory requirements, and Mastercard... ...special compensation reviews for executive leadership... ...with Legal, Finance, Investor Relations, and the... ...guidelines. Governance, Compliance, and Disclosure...Full timePart timeFlexible hours$200k - $225k
...a wide range of internal, client, and regulatory reports that support all the risk activities... ...an exceptionally talented Market Risk Vice President. This role will support all aspects of... ...and asset classesSupport daily risk review processes, including limits monitoring...- ...Vice President, Registered Funds Compliance About the Company Global investment management firm seeking compliance professional for registered... ...and procedures to ensure compliance with business and regulatory changes, as well as the development of close working...
- ...Vice President, Regulatory Reporting About the Company A global investment firm focused on compliance, regulatory reporting, and control processes Industry Financial Services Type Privately Held About the Role The Company is in search of a Regulatory...
- ...Vice President, Portfolio & Performance Reporting About the Company... ...ensure performance analytics and investor communications are accurate,... ...transparency and compliance. Responsibilities include standardizing... ..., board materials, and regulatory or surveillance reports. Strong...
$140k - $160k
...investment management firm. As quantitative investors, research is the foundation of... ...Kong, Sydney and Bengaluru.The TeamThe Compliance group is responsible for designing, implementing... ...AQR complies with all relevant regulatory and industry rules and regulations. We...$150k - $175k
...investment management firm. As quantitative investors, research is the foundation of... ...to six years of investment or trading compliance experience to join our Compliance Department... ...and procedures to respond to business/regulatory changes or to launch new business linesDevelop...- ...experienced professional to join their team as an Investor Relations Associate. Responsibilities: Manage end-to-end onboarding of SMA accounts, from approval through... ...stakeholders to ensure a seamless process Review account details, restrictions, and documentation...
- ...Vice President, Global Competition Law, Compliance & Policy About the Company Industry leading financial technology (FinTech) company with a global... ...processes through technology. They will also support regulatory investigations and assess business products, services...
- High End mid-sized Fund seeks Compliance Associate with 1-3+years of... ...with client guidelines and regulatory requirements, conducting transactional... ...testing and compliance reviews. This role offers the... ...program, including employee onboarding in ComplySci, personal trading...
- ...Vice President, GIMA Operational Due Diligence (OpDD) About the Company Top-tier global... ...functions such as onsite meetings or desk reviews to evaluate operational infrastructure,... ...informed about industry trends and regulatory matters. Hiring Manager Title Head...Work experience placement
- # VP Chief Compliance OfficerHybrid • MSO Corporate 1000 - Stamford... ...**What you’ll do:**The Vice President, Compliance is the senior executive... ...and mitigation plans for regulatory, billing, coding,... ...and contractors, including onboarding and annual training; measure...For contractorsWork at officeLocal area
- ...Job Description Global asset management firm is in search of a senior compliance specialist to oversee the global regulatory reporting. The role will ensure that the firm’s operations and investment strategies remain in strict accordance with global financial regulations...
- ...leadership position requires expert knowledge of medical physics, regulatory compliance, and radiation safety management. The successful candidate... ...). Collaborate with medical and clinical leadership to review and develop procedures aimed at improving quality of care....
- ...investment manager or a desk review of a review of DDQs/various manager... ...External Oversight, Legal & Compliance, Information Technology & BCP... ..., Legal, Operations, Risk, Investor Relations, and Sales as... ...abreast of industry trends, regulatory matters, and market events affecting...Work experience placement
$200k
...goal extends to how we hire and onboard our most valuable assets –... ..., insurance policy wordings, regulatory matters, and day‑to‑day insurance... ...spanning claims, regulatory, compliance, and corporate matters.... ...business stakeholders. Draft and review insurance policy forms,...Temporary workWork at officeImmediate startRemote workShift work$125k - $150k
...investment management firm. As quantitative investors, research is the foundation of... ...investment management industry to join our Compliance Department.Your Role:Perform analysis and... ...solutions supporting compliance and regulatory operations.Partner with software engineers...$141.2k - $278.3k
...Manager, AI Risk & Validation Our Deloitte Regulatory, Risk & Forensic team helps client... ...validation of AI solutions, including data review, design assessment, testing strategy, benchmarking... ...supports clients' regulatory and compliance needs, balancing risk and regulatory...Local areaVisa sponsorship$200k - $250k
...Position Overview: The Vice President, Human Resources... ...operations, employment compliance, performance management... ...lifecycle, including onboarding, employee records,... ...employment laws and regulatory requirements across applicable... ...management, talent reviews, succession planning,...Work at officeLocal area- ...RESPONSIBILITIES Lead the firm's overall compliance strategy, ensuring adherence to SEC, FINRA, and applicable... .... Serve as the primary point of contact for regulatory examinations, inquiries, audits, and supervisory reviews. Develop, maintain, and enhance written...
- ...offices. Our offering includes fund accounting and investor services, portfolio analytics, middle-office functions, regulatory and financial reporting, and tax services.... ...and other functions involved in investor onboarding and ongoing servicing. We are looking for a...Work at office
$84.61k - $141.02k
...guidance Conduct regular plan reviews, including performance... ...improvement Advise on plan design, compliance challenges, and corrective... ...Assist with client onboarding, education sessions, and finalist... .... Stay informed about regulatory changes and industry trends...Interim roleWork at office$155k - $183.5k
...the broader organization by reviewing and analyzing the laws and regulations... ...to comply with legal and regulatory obligations. They also guide... ...activities, ensuring compliance with evolving industry requirements... ...regulatory compliance, and investor protection standards....Local area
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