Regulatory Reporting - Vice President

iCapital•New York, NY

3d•$150,000 - $175,000•Hybrid

About The Position

iCapital is seeking a Vice President of Regulatory Reporting to join its Regulatory and Compliance team. The position works closely with Senior Vice Presidents and Co-Chief Compliance Officers of Registered Investment Advisers (RIAs) on compliance matters, particularly regulatory reporting. The role provides compliance leadership and ownership of the end-to-end regulatory reporting process, while advising on regulatory developments and supporting other compliance functions as needed. The position is office-based Monday through Thursday, with the flexibility to work remotely on Friday.

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, including Form ADV and Form PF; private funds, including 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 and maintain a continuous learning mindset.
Self-motivation, robust project management skills, and process development skills.
Experience with regulatory examinations, investigations, or other interactions specifically involving the SEC, FINRA, and NFA.
Experience evaluating risk and mapping risk and controls across firm practices.
Ability to develop 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 similar international 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 support internal and external reporting.
Develop new procedures and amend existing procedures as needed.
Monitor industry-wide compliance initiatives and significant federal, state, and non-U.S. regulatory developments, and analyze their impact on the firm’s activities.
Recommend solutions to resolve regulatory challenges.
Liaise with internal and external stakeholders.