Regulatory & Compliance - Associate

iCapital•Salt Lake City, UT

2d•$70,000 - $95,000•Hybrid

About The Position

iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Requirements

2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
Comfortable leading discussions and initiatives with senior internal and external stakeholders
Able to manage multiple deadlines and projects
Organized and detailed oriented with big picture capability
Strong interpersonal and leadership skills
Willingness to learn new topics and work in an evolving business environment
Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies

Responsibilities

Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.
Inform senior management of any material regulatory or operational changes.
Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.
Assist with ad-hoc compliance-related matters.