Compliance Officer, IAS / Registered Funds - Associate

iCapital•New York, NY

1d•$90,000 - $115,000•Hybrid

About The Position

iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. The role focuses on regulatory oversight, compliance testing, marketing review, and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product. The position supports the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds. It reviews registered fund filings, marketing materials, and client communications; performs compliance monitoring and testing; assists with risk assessments and policy updates; oversees key fund service providers; and supports SEC examinations and regulatory inquiries. The role works in the office Monday through Thursday, with the flexibility to work remotely on Friday.

Requirements

Bachelor's degree required.
2–4 years of relevant compliance, legal, regulatory, audit, or financial services 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 manage assigned compliance responsibilities, exercise sound judgment, and escalate potential 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, 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.
Assist with regulatory risk assessments and updates to compliance policies and procedures.
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.