# ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President

**Company**: iCapital
**Location**: New York, NY
**Work arrangement**: hybrid
**Experience**: senior
**Job type**: full-time
**Salary**: $110,000 to $145,000
**Category**: Finance
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/icapitalnetwork/jobs/8908694002?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_7a214f61-661

## Description

iCapital is seeking a Compliance Officer to support its investment advisers serving ETF, Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses.

The successful candidate will assist with implementing and administering compliance programs for the firm's SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities.

Responsibilities:

- Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c-11.

- Support administration of the funds' compliance and governance framework.

- Assist in monitoring compliance with fund governing documents.

- Monitor regulatory developments affecting ETFs and assess their impact.

- Support ETF and Registered Funds initiatives by identifying regulatory risks and developing practical solutions.

- Review fund marketing materials for consistency with fund disclosures and regulatory requirements.

- Conduct post-trade compliance monitoring and portfolio guideline testing.

- Support trading oversight frameworks and compliance practices.

- Perform compliance testing, reporting, and remediation tracking.

- Assist with compliance reviews of third-party service providers.

Qualifications:

- Bachelor's degree required.

- 6+ years of compliance experience in the financial services industry, including experience with ETFs, derivatives, and alternative investments.

- Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs.

- Experience evaluating risk and mapping risks and controls.

- Ability to collaborate with colleagues and operate effectively in a fast-paced environment.

Benefits:

- Base salary range: $110,000 to $145,000.

- Comprehensive benefits package, including employer-matched retirement plan, subsidized healthcare, dental, vision, telemedicine, and virtual mental health counseling.

- Parental leave and unlimited paid time off (PTO).

- Flexible work arrangement: Monday-Thursday in-office, Friday remote.

## Skills

### Required
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Rule 6c-11
- ETF compliance
- derivatives
- alternative investments
- risk management
- compliance testing

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Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/icapitalnetwork/jobs/8908694002?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)