Compliance Officer, Registered Funds - Assistant Vice President

iCapital•Greenwich, CT

1d•$110,000 - $145,000•Hybrid

About The Position

iCapital is seeking a Registered Funds Compliance Assistant Vice President to support the compliance program for its registered fund platform. The role focuses on marketing review, regulatory oversight, compliance testing, and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The position requires hands-on registered fund compliance experience and the ability to independently manage key responsibilities while partnering with Legal, Marketing, Fund Management, Investments, Finance, and Product. The role supports compliance programs for registered investment companies, including interval and closed-end funds; reviews filings and communications; conducts monitoring and testing; and addresses compliance matters involving valuation, liquidity, affiliated transactions, custody, allocations, fees and expenses, and conflicts of interest. It also assists with regulatory risk assessments, compliance policies and procedures, fund-board and CCO reporting, service-provider oversight, SEC examinations and inquiries, and translating regulatory developments into policies, controls, testing, and business guidance. The role is based in the office Monday through Thursday, with the flexibility to work remotely on Friday. The base salary range is $110,000 to $145,000. iCapital offers salary, equity for all full-time employees, and an annual performance bonus, as well as a comprehensive benefits package.

Requirements

Bachelor's degree required.
5–8 years of relevant compliance, legal, regulatory, audit, or registered fund experience.
Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1.
Familiarity with the Investment Advisers Act and adviser compliance requirements.
Strong analytical, organizational, written, and verbal communication skills.
Ability to independently manage compliance responsibilities, exercise sound judgment, and escalate significant issues appropriately.
Ability to translate complex regulatory requirements into practical business guidance and effective compliance controls.

Nice To Haves

JD, MBA, or other advanced degree.
Experience with registered closed-end funds, interval funds, alternative investments, or private-market strategies.
Experience with compliance testing, fund board reporting, SEC examinations, and/or service-provider oversight.

Responsibilities

Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds.
Review registered fund filings, marketing materials, and client communications.
Perform compliance monitoring and testing under Section 206(4)-7 and applicable requirements under the Advisers Act and Investment Company Act.
Monitor compliance matters involving valuation, liquidity, affiliated transactions, custody, allocations, fees and expenses, and conflicts of interest.
Assist with regulatory risk assessments and updates to compliance policies and procedures.
Prepare compliance reporting, testing results, regulatory updates, and other materials for fund boards and CCOs.
Assist with oversight of sub-advisers, administrators, custodians, transfer agents, distributors, and other key fund service providers.
Support SEC examinations and regulatory inquiries, including document production and preparation of responses.
Monitor regulatory developments and help implement associated policies, controls, testing, and business guidance.
Advise business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940.