Regulatory and Compliance, Investor Onboarding and Regulatory Review, Vice President

Responsibilities

• Lead the Subscription Document Review team.
• Manage client engagements and relationships.
• Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
• Create and maintain client and investor reporting tracking investor subscriptions, deadlines, and transaction-related data.
• Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
• Communicate with investment relations teams on ongoing fundraises and investor issues.
• Provide deficiency comments for investor subscription materials.

Qualifications

• 8-15+ years of alternatives experience, preferably with private funds and registered investment advisor experience.
• Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds.
• Experience reviewing governing documents for investors, e.g., limited liability company agreements and trust agreements.
• Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
• AML/KYC knowledge of regulatory requirements for private fund investors is a plus but not required.
• Excellent verbal communication skills and strong ability for personal interaction.
• Professionalism both client-facing and internally.
• Thrives in a fast-paced environment with a continuous learning mindset.
• Self-motivated with robust project management and process development skills.

Benefits

• The base salary range for this role is $155,000 to $185,000.
• 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).
• Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.