Regulatory Reporting - Vice President

iCapital•Greenwich, CT

3d•$150,000 - $175,000•Hybrid

About The Position

iCapital is hiring a Vice President of Regulatory Reporting to join its Regulatory and Compliance team. The role works closely with Senior Vice Presidents and the Co-Chief Compliance Officers of the Registered Investment Advisers (RIAs), focusing particularly on regulatory reporting. The position provides compliance leadership and ownership of the end-to-end regulatory reporting process, while supporting other compliance matters as needed. The role oversees regulatory filings, advises on developments that affect RIA filings, develops and implements compliance functions and tests, and uses firm technology to support internal and external reporting. It also involves creating and updating procedures, monitoring regulatory and industry developments, analyzing their impact on company activities, recommending solutions to regulatory challenges, and liaising with internal and external stakeholders.

Requirements

Bachelor's degree in a related field.
At least 8 years of experience, primarily focused on private funds and registered investment advisers.
Strong knowledge of reporting obligations for registered investment advisers (Form ADV and Form PF), private funds (Form D and blue-sky), and reports required under the 1934 Act.
Excellent written and verbal communication skills.
Ability to thrive in a fast-paced environment with a continuous learning mindset.
Self-motivation, robust project management skills, and process development skills.
Experience with regulatory examinations, investigations, or other interactions specifically with the SEC, FINRA, and NFA.
Experience evaluating risk and mapping risk and controls across firm practices.
Ability to develop other team members through mentoring or helping them upskill.
Attention to detail and ability to assess and prioritize projects.

Responsibilities

Oversee preparation of regulatory filings, including Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky filings.
Advise on regulatory developments affecting RIA regulatory filings.
Provide compliance leadership and own the end-to-end regulatory reporting process.
Assist with other compliance-related matters as needed.
Develop and implement compliance functions and tests.
Use firm technology to assist with internal and external reporting.
Develop new procedures and amend existing procedures as needed.
Monitor industry-wide compliance initiatives and important federal, state, and non-U.S. regulatory developments, and analyze their impact on company activities.
Recommend solutions to resolve regulatory challenges.
Liaise with internal and external stakeholders.