# Regulatory and Compliance, Subscription Document Review - Associate

**Company**: iCapital
**Location**: New York, New York
**Work arrangement**: hybrid
**Experience**: mid
**Job type**: full-time
**Salary**: $90,000 to $115,000
**Category**: Finance
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/icapitalnetwork/jobs/8812006002?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_a461675e-146

## Description

iCapital is looking for a Subscription Document Review Associate to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds.

The associate 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:

- Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.

- Create and maintain Excel spreadsheets and reports 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.

- Draft deficiency comments for investor subscription materials.

Qualifications:

- 1-3 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, (i.e. limited liability company agreements and trust agreements).

- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.

- AML and KYC knowledge of regulatory requirements for private fund investors is a plus.

- Excellent verbal communication skills and strong ability for personal interaction.

- Professionalism both client-facing and internally.

- Able to thrive in a fast-paced environment with a continuous learning mindset.

- Self-motivated with robust project management and process development skills.

- JD is a plus.

Benefits: The base salary range for this role is $90,000 to $115,000. 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).

## Skills

### Required
- Investment Company Act of 1940
- Securities Act of 1933
- Excel
- project management
- communication

### Nice to have
- AML
- KYC
- JD

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Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/icapitalnetwork/jobs/8812006002?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)