Description
iCapital is seeking a Vice President of Regulatory Reporting to join the Regulatory and Compliance team. The successful candidate will work closely with Senior Vice Presidents and Co-Chief Compliance Officers of Registered Investment Advisers (RIAs) on various compliance matters, particularly regulatory reporting.
Responsibilities:
- Oversee preparation of regulatory filings, including Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky.
- Advise on regulatory developments affecting RIAs' regulatory filings.
- Provide compliance leadership and manage the end-to-end process of regulatory reporting.
- Assist with other compliance-related matters as needed.
- Develop and implement compliance functions and tests.
- Utilise firm technology for internal and external reporting.
- Develop new procedures and amend existing ones as necessary.
- Monitor industry-wide compliance initiatives and regulatory developments.
- Conduct analyses on the impact of regulatory developments on the company's activities.
- Recommend solutions to resolve regulatory challenges.
- Liaise with internal and external stakeholders.
Qualifications:
- 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 of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky), and reports required 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 team members through mentoring or helping upskill.
- Detail-oriented with ability to assess and prioritise projects.
Benefits: The base salary range for this role is $150,000 to $175,000. iCapital offers a compensation package including salary, equity for full-time employees, and an annual performance bonus. Employees receive a comprehensive benefits package, including an employer-matched retirement plan, subsidised healthcare with 100% employer-paid dental, vision, telemedicine, and virtual mental health counselling, parental leave, and unlimited paid time off (PTO). Employees in this role will work in the office Monday-Thursday, with flexibility to work remotely on Friday.