# Regulatory and Compliance, AML - Assistant Vice President

**Company**: iCapital
**Location**: Salt Lake City, Utah
**Work arrangement**: hybrid
**Experience**: senior
**Job type**: full-time
**Salary**: $85,000 to $110,000
**Category**: Finance
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/icapitalnetwork/jobs/8894713002?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_f88de6a0-a53

## Description

iCapital is looking for a Compliance Assistant Vice President to join its Regulatory and Compliance team. The successful candidate will lead the review and approval process for investor AML and KYC with a strong private fund focus.

Responsibilities:

- Review investor and client AML and KYC documentation, client communications, quarterly reporting, and ongoing monitoring.

- Perform third-party reliance testing and monitoring.

- Collaborate across various business lines on new initiatives, providing compliance guidance.

- Conduct AML screening review and dispositions.

- Assist in preparing for and responding to inquiries and audits.

Qualifications:

- 5+ years of alternatives experience, preferably with both broker-dealer and registered investment advisor experience.

- Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933, and Cayman Islands Anti-Money Laundering Regulations.

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

- Experience with AML screening resolution vendor tools (e.g., LexisNexis, Worldcheck, ComplyAdvantage).

- Excellent verbal communication skills with the ability for personal interaction.

- Thrives in a fast-paced environment with a continuous learning mindset.

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

- ACAMS certification is preferred.

- JD is a plus.

Benefits: The base salary range for this role is $85,000 to $110,000. 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
- Cayman Islands Anti-Money Laundering Regulations
- AML
- KYC
- LexisNexis
- Worldcheck
- ComplyAdvantage

### Nice to have
- ACAMS certification
- JD

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Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/icapitalnetwork/jobs/8894713002?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)