Financial Crimes Compliance Manager - Vice President

Responsibilities

• Review ad-hoc requests from iCapital stakeholders to ensure compliance with AML regulations.
• Oversee third party reliance testing and monitoring.
• Review high-risk escalations to provide recommendations to senior members of the Compliance team.
• Cook with regulators and auditors through routine examinations.
• Investigate unusual and suspicious activity, recommending SAR filings to the SAR Committee.
• Complete AML and KYC Due Diligence Questionnaires.
• Review escalations from the international Compliance team.

Qualifications

• 10-15 years of experience, preferably with financial institution, broker dealer and registered investment adviser experience focusing primarily on AML, CFT and Sanctions compliance.
• Expertise of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations.
• AML and KYC knowledge of regulatory requirements for private fund investors.
• ACAMS certification.
• JD is a plus.

Pay

The base salary range for this role is $150,000 to $175,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

Schedule

Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.