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).