Description
iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team. The successful candidate will support the Compliance team in ensuring adherence to applicable securities laws, regulations, and internal policies, particularly in Canada.
Responsibilities:
- Develop, implement, communicate, maintain, and monitor compliance policies and procedures.
- Foster a culture of compliance across the organization.
- Establish strong working relationships with business partners and stakeholders.
- Collaborate with various departments to ensure alignment on compliance issues.
- Liaise with external parties and internal stakeholders for compliance-related matters.
- Support the preparation and filing of regulatory reports.
- Manage the Canada Compliance Calendar.
- Support regulatory audits, inquiries, and inspections.
- Monitor and track regulatory developments.
- Assist with compliance training and attestations.
- Coordinate and organize board meetings.
- Maintain compliance records.
- Contribute to the implementation and continuous improvement of compliance programs.
- Support the Canada Legal and Compliance team.
Qualifications:
- 2-5 years of experience in senior compliance, business controls, operations, and regulatory experience within an investment fund manager, portfolio manager, and exempt market dealer entity regulated by Canadian securities authorities.
- Bilingual in English and French preferred.
- Compliance expertise in the private fund and investment management space.
- Experience with regulatory filings is a plus.
- Excellent analytical skills, attention to detail, and ability to interpret regulatory requirements.
- Adaptable and entrepreneurial, with strong written and verbal communication skills.
- Ability to manage multiple tasks, meet deadlines, and work independently or as part of a team.
- Strong computer skills, including MS Suite.
Benefits:
- Base salary range: CAD 80,000 to CAD 95,000.
- Comprehensive benefits package, including employer-matched retirement plan, subsidized healthcare, parental leave, and unlimited paid time off.
- Work in the office Monday-Thursday, with flexibility to work remotely on Friday.