About the Role

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

Responsibilities

• Assist and oversee preparation of regulatory filings including, but not limited to, Form D, blue-sky notices, Form ADV, Form PF, certain 34 Act filings, BE-185, and international filings similar to blue-sky.
• Assist with other compliance-related matters as needed.
• Develop and implement various compliance functions and tests.
• Leverage firm technology to assist in both internal and external reporting.
• Develop new procedures and amend existing ones as needed.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses on how such developments impact our activities.
• Recommend solutions to resolve regulatory challenges.
• Liaise with other internal and external stakeholders.

Qualifications

• Bachelor's degree in a related field 
• 2-5 years of experience, primarily focused on private funds and registered investment advisers
• Strong knowledge of various reporting obligations of registered investment advisers (Form ADV; Form PF), private funds (Form D; blue-sky) and reports required under the 1934 Act
• Excellent verbal communication skills and strong ability for personal interaction
• 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 $70,000 to $85,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution of alternative investments, structured investments, and annuity products.

Responsibilities will include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, and compliance operations. The position requires a seasoned compliance professional capable of partnering with senior business leaders while exercising sound regulatory judgment in complex and evolving areas of risk.

Responsibilities

• Assist the CCO in designing, implementing, and maintaining an effective broker dealer compliance program consistent with FINRA and SEC expectations.
• Provide senior level oversight of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance testing.
• Serve as a key escalation point for material compliance issues, supervisory concerns, and regulatory risk matters.
• Oversee compliance related to the distribution of alternative investments, structured products, and annuities, including private placements and complex products.
• Support product due diligence, approval, and ongoing monitoring frameworks from a broker dealer compliance perspective.
• Manage the development, maintenance, and enforcement of Written Supervisory Procedures (WSPs).
• Partner with business leadership to enhance supervisory controls and address identified gaps.
• Manage and coordinate responses to regulatory examinations, inquiries, and findings, as applicable, ensure timely remediation, and track corrective action plans.
• Monitor regulatory developments impacting broker dealer operations, complex product distribution, and sales practices.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Mentor and develop compliance staff, fostering depth, continuity, and subject matter expertise within the compliance function.
• Promote a strong culture of compliance and ethical conduct across the organization.

Qualifications

• 12-15+ years of relevant experience
• Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility
• Demonstrated expertise in alternative investments, structured investments, or annuities from a compliance or regulatory perspective
• Strong working knowledge of FINRA rules, SEC regulations, suitability standards, and complex product oversight
• Experience managing regulatory exams, enforcement matters, and senior‑level regulatory interactions
• Proven leadership skills with the ability to influence senior stakeholders and business partners
• Excellent written and verbal communication skills
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Sound judgment, strong ethics, and the ability to manage sensitive and confidential matters
• JD is a plus
• Series 24 license upon hire or obtain within 90 days of hire

Benefits

The base salary range for this role is $190,000 to $225,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The candidate will be responsible for ensuring compliance with AML regulatory requirements within the United States and other iCapital regions.

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.
• Coordinate 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

Benefits

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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution of alternative investments, structured investments, and annuity products.

Responsibilities will include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, and compliance operations. The position requires a seasoned compliance professional capable of partnering with senior business leaders while exercising sound regulatory judgment in complex and evolving areas of risk.

Responsibilities

• Assist the CCO in designing, implementing, and maintaining an effective broker dealer compliance program consistent with FINRA and SEC expectations.
• Provide senior level oversight of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance testing.
• Serve as a key escalation point for material compliance issues, supervisory concerns, and regulatory risk matters.
• Oversee compliance related to the distribution of alternative investments, structured products, and annuities, including private placements and complex products.
• Support product due diligence, approval, and ongoing monitoring frameworks from a broker dealer compliance perspective.
• Manage the development, maintenance, and enforcement of Written Supervisory Procedures (WSPs).
• Partner with business leadership to enhance supervisory controls and address identified gaps.
• Manage and coordinate responses to regulatory examinations, inquiries, and findings, as applicable, ensure timely remediation, and track corrective action plans.
• Monitor regulatory developments impacting broker dealer operations, complex product distribution, and sales practices.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Mentor and develop compliance staff, fostering depth, continuity, and subject matter expertise within the compliance function.
• Promote a strong culture of compliance and ethical conduct across the organization.

Qualifications

• 12-15+ years of relevant experience
• Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility
• Demonstrated expertise in alternative investments, structured investments, or annuities from a compliance or regulatory perspective
• Strong working knowledge of FINRA rules, SEC regulations, suitability standards, and complex product oversight
• Experience managing regulatory exams, enforcement matters, and senior‑level regulatory interactions
• Proven leadership skills with the ability to influence senior stakeholders and business partners
• Excellent written and verbal communication skills
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Sound judgment, strong ethics, and the ability to manage sensitive and confidential matters
• JD is a plus
• Series 24 license upon hire or obtain within 90 days of hire

Benefits

The base salary range for this role is $190,000 to $225,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities. 

Responsibilities

• Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
• Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
• Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
• Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
• Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures.
• Lead compliance efforts for ETF and Registered Funds launches and product changes from concept through effectiveness and post‑launch execution.
• Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
• Oversee product‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
• Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
• Support trading oversight frameworks, including best execution governance and related compliance practices.
• Perform compliance testing, reporting, and remediation tracking to ensure timely resolution of issues.
• Oversee and coordinate compliance reviews of third‑party service providers, including administrators, custodians, legal counsel, and auditors.

Qualifications

• Bachelor’s degree, Law Degree or MBA is preferred
• 10+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
• Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
• Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
• Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
• Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
• 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
• Skilled at developing other team members through mentoring or helping upskill
• Able to operate in a fast-paced environment
• Detail oriented with the ability to assess and prioritize projects
• FINRA Series 7 and 24 licenses are preferred

Benefits

The base salary range for this role is $125,000 to $155,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking to hire a Control Room Vice President or Senior Vice President candidate to join its Regulatory and Compliance team to lead the implementation, and enforcement of the firm’s information barrier, MNPI, and Restricted Trading List (RTL) programs. This role serves as a central point of escalation and oversight for potential conflicts arising from access to sensitive information across investment advisory, portfolio management, and distribution activities. The position partners closely with the Legal team to safeguard against misuse of MNPI, ensure compliance with securities laws, and promote a strong culture of compliance and ethical conduct.

Responsibilities

• Enhance, maintain, and enforce policies and procedures related to MNPI, information barriers, personal and firm trading restrictions, and conflicts of interest.
• Serve as the Control Room point of contact for matters involving potential MNPI, information barrier breaches, and wall crossing events.
• Coordinate and document wall crossing approvals, acknowledgements, and related controls.
• Administer and oversee the firm’s Restricted Trading List (RTL), including adding, monitoring, and removing securities based on MNPI considerations.
• Assess trading activity against RTL restrictions and escalate potential violations for investigation and remediation.
• Maintain documentation supporting RTL decisions and audit trails for regulatory review.
• Lead or support investigations into potential MNPI misuse, information barrier breaches, or trading violations, including coordination with Legal and HR as appropriate.
• Develop and deliver targeted training on MNPI, information barriers, and RTL obligations for employees with elevated risk exposure.
• Monitor regulatory developments, enforcement actions, and industry trends related to insider trading and MNPI controls.

Qualifications

• 10-15+ years of experience, preferably with demonstrated experience in a control room function or overseeing MNPI, insider trading, or information‑barrier programs
• Strong understanding of U.S. securities laws and regulations related to insider trading and market abuse (i.e. Exchange Act Section 10(b), Rule 10b‑5)
• Experience administering or advising on Restricted Trading Lists and trading surveillance controls
• Able to exercise sound judgment in complex, time‑sensitive situations involving senior stakeholders
• Strong written and verbal communication skills, with the ability to clearly articulate risk and compliance requirements
• Highly organized, detail‑oriented, and comfortable managing confidential information
• Collaborative, pragmatic, and able to operate effectively across business, legal, and compliance functions
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• JD is a plus

Benefits

The base salary range for this role is $140,000 to $190,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

The Chief Risk Officer (CRO) is a newly created role, as we establish a formal second line of defense, bringing Regulatory & Compliance, Enterprise Risk & Governance and Safety, Resilience & Incident Management together under one risk structure.  The successful candidate will be a key member of iCapital’s Performance and Risk Management team, accountable for the enterprise-wide risk management, regulatory compliance, and safety and resilience programs of the firm. This leader will oversee the integration of regulatory and compliance functions with a comprehensive enterprise risk management framework, ensuring iCapital continues to operate with strong governance, disciplined risk oversight, and regulatory credibility as the business scales globally.

Reporting directly to the Chief Financial Officer, the CRO will partner closely with executive leadership, the Board, and Board‑level Audit & Risk Management Committee to proactively identify, assess, and manage risk across iCapital’s global platform. This role is critical to iCapital’s continued growth, requiring a seasoned executive with deep expertise in alternative investments, complex regulatory environments, and enterprise risk management.

The CRO will oversee the administrative and strategic activities of the teams responsible for regulatory compliance, risk management, controls, and resilience, while serving as a trusted advisor to senior leadership.

Responsibilities:

Regulatory & Compliance Oversight and Execution

• Global Regulatory Strategy: Oversee regulatory compliance across iCapital’s global footprint, including U.S., Canada, UK, Europe, and APAC jurisdictions, and support expansion into new regulated markets.
• Alternatives & Structured Products: Provide leadership on regulatory requirements governing alternative investments, structured investments, annuities, and registered and private fund vehicles.
• Licensing & Registrations: Oversee regulatory registrations, licensing, exemptions, and ongoing obligations with regulators including the SEC, FINRA, and international authorities.
• Policies & Controls: Ensure the development and maintenance of scalable policies, procedures, training, and controls aligned with regulatory requirements and business strategy.
• Regulatory Engagement: Lead regulatory examinations, audits, and inquiries, maintaining strong, credible relationships with regulators and external advisors.

Enterprise Risk & Governance Leadership

• Enterprise Risk Management (ERM): Design, evolve, and execute iCapital’s enterprise risk management framework, including risk appetite, governance, assessment, and reporting across all business lines and geographies.
• Risk Governance: Provide oversight through established governance forums, including the Board‑level Audit & Risk Management Committee, Corporate Risk Management Committee, and operational risk working groups.
• Risk Assessment & Monitoring: Maintain and enhance the enterprise risk register, integrating Risk Control Self‑Assessments (RCSAs), risk appetite metrics, and issue management into a consistent, scalable framework.
• Executive & Board Engagement: Serve as a primary point of contact for senior management and the Board on risk‑related matters, delivering clear, actionable insights and recommendations.

Risk Controls, Assurance & Audits

• Controls Framework: Partner with Finance, Technology, Legal, and Operations to strengthen internal controls, including IT General Controls (ITGCs), ICFR, and operational controls.
• SOC 2 & Assurance: Oversee SOC 2 audits across business lines, managing auditor relationships, evidence collection, remediation, and ongoing control maturity.
• Technology & Data Risk: Collaborate with Technology and Security teams to manage platform, data protection, and information security risk in a technology‑enabled business model.

Safety, Resilience & Incident Management

• Business & Technology Resilience: Ensure the firm’s ability to continue delivering critical services through disruption by maintaining approved business continuity and disaster recovery plans, validated through regular testing.
• Incident Management: Oversee a centralized enterprise incident management framework, including escalation protocols, response playbooks, and crisis communications.
• Life Safety & Physical Security: Provide oversight of physical security, life safety, and emergency preparedness programs across offices, travel, and firm‑sponsored events.

Leadership & Team Development

• People Leadership: Lead, mentor, and develop global teams across risk management and compliance functions, fostering a culture of accountability, partnership, and continuous improvement.
• Cross‑Functional Collaboration: Work closely with Finance, Legal, Technology, Product, and Business leaders to embed risk awareness into decision‑making while enabling growth and innovation.
• Culture of Risk Awareness: Promote a strong risk and compliance culture that balances commercial objectives with disciplined governance.

Qualifications:

• 15+ years of senior leadership experience in risk management, compliance, or governance within financial services, fintech, asset management, broker‑dealer, or investment advisory environments
• Deep, hands‑on experience with alternative investments, including regulatory treatment, product structure, and distribution considerations
• Proven ownership of regulatory compliance in highly regulated environments, including direct interaction with regulators and responsibility for examinations and audits
• Demonstrated success designing and operating enterprise risk management frameworks in complex, multi‑jurisdictional organizations
• Strong knowledge of U.S. securities regulation (SEC, FINRA, Advisers Act, Investment Company Act, AML/KYC) and familiar with international frameworks such as AIFMD and MiFID
• Credible, confident leader with the judgment and independence to challenge constructively and advise senior leadership and the Board
• Able to translate complex regulatory and risk concepts into practical, scalable solutions aligned with business strategy
• Experience leading and scaling specialized global teams.
• Bachelor’s degree required; advanced degree (JD, MBA, or equivalent) strongly preferred. Professional certifications (FRM, CRCMP, CFA, CPA, CAMS) a plus

Benefits:

The base salary range for this role is $350,000 to $400,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

 For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking for an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team, focusing on Distribution Compliance in Latin America. The candidate will provide compliance advisory and supervisory support for the firm’s distribution of alternative investment products across Latin American markets. This position partners closely with the Distribution, Legal, Product, and Global Compliance teams to ensure distribution, marketing, and investor communications comply with applicable FINRA rules, U.S. securities laws, and jurisdiction-specific and cross border requirements.

Responsibilities

• Serve as the primary compliance contact to distribution teams covering Latin America.
• Provide guidance on cross border solicitation rules, private placement regimes, and interaction with non-U.S. investors and placement agents in Latin America.
• Coordinate with local counsel to assess regulatory risk, confirm permissible activity, and document jurisdiction specific compliance positions.
• Support compliance with Regulation D and Regulation S offerings marketed to non-U.S. investors, including establishing controls around selling restrictions and disclosure considerations.
• Assist in developing and enhancing written supervisory procedures and governance frameworks related to the distribution of alternative investments.
• Maintain and update policies and procedures based on new regulatory developments and new business initiatives.
• Monitor and assess regulatory developments impacting distribution of alternative investments in Latin America, including regulatory guidance and enforcement trends.

Qualifications

• 7-10+ years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong working knowledge of FINRA broker‑dealer rules, SEC regulations, and cross‑border offering frameworks (including Reg D and Reg S)
• Demonstrated experience supporting private placement or alternative investment distribution to non‑S. investors in Latin America
• Able to work effectively across regions and communicate complex jurisdiction‑specific regulatory issues to business stakeholders
• Strong judgment, attention to detail, and a practical, risk‑based approach to compliance
• Excellent verbal communication skills and strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Bilingual proficiency (English and Spanish) is preferred
• JD is a plus, but not required

Benefits

The base salary range for this role is $135,000 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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports the Chief Compliance Officer in the oversight, management, and execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution of alternative investments, structured investments, and annuity products.

Responsibilities will include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, and compliance operations. The position requires a seasoned compliance professional capable of partnering with senior business leaders while exercising sound regulatory judgment in complex and evolving areas of risk.

Responsibilities

• Assist the CCO in designing, implementing, and maintaining an effective broker dealer compliance program consistent with FINRA and SEC expectations.
• Provide senior level oversight of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance testing.
• Serve as a key escalation point for material compliance issues, supervisory concerns, and regulatory risk matters.
• Oversee compliance related to the distribution of alternative investments, structured products, and annuities, including private placements and complex products.
• Support product due diligence, approval, and ongoing monitoring frameworks from a broker dealer compliance perspective.
• Manage the development, maintenance, and enforcement of Written Supervisory Procedures (WSPs).
• Partner with business leadership to enhance supervisory controls and address identified gaps.
• Manage and coordinate responses to regulatory examinations, inquiries, and findings, as applicable, ensure timely remediation, and track corrective action plans.
• Monitor regulatory developments impacting broker dealer operations, complex product distribution, and sales practices.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Mentor and develop compliance staff, fostering depth, continuity, and subject matter expertise within the compliance function.
• Promote a strong culture of compliance and ethical conduct across the organization.

Qualifications

• 12-15+ years of relevant experience
• Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility
• Demonstrated expertise in alternative investments, structured investments, or annuities from a compliance or regulatory perspective
• Strong working knowledge of FINRA rules, SEC regulations, suitability standards, and complex product oversight
• Experience managing regulatory exams, enforcement matters, and senior‑level regulatory interactions
• Proven leadership skills with the ability to influence senior stakeholders and business partners
• Excellent written and verbal communication skills
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Sound judgment, strong ethics, and the ability to manage sensitive and confidential matters
• JD is a plus
• Series 24 license upon hire or obtain within 90 days of hire

Benefits

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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking for a Compliance Assistant Vice President to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer. There will be a strong focus on marketing materials for private funds. The ideal candidate will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance teams with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.  

Responsibilities

• Review of marketing materials, client communications, diligence reports, research and quarterly reporting, among other materials for SEC and FINRA compliance.
• Perform compliance testing and monitoring for marketing related materials.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives.
• Contribute to developing and conducting company-wide training to meet both SEC and FINRA obligations.
• Help prepare for and respond to inquiries and audits from regulatory authorities.

Qualifications

• Bachelor's degree in a related field 
• 5+ years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
• Experience with alternative investments, primarily private funds, as well as an understanding of compliance restrictions around private placements and registered products
• Excellent verbal and interpersonal communication skills
• Able to thrive in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• JD is a plus

Benefits

The base salary range for this role is $85,000 to $110,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics

About the Role

iCapital is looking to hire a Control Room Associate to join its Regulatory and Compliance team to assist in the implementation, and enforcement of the firm’s information‑barrier, MNPI, and Restricted Trading List (RTL) programs. This role will assist in the oversight of potential conflicts arising from access to sensitive information across investment advisory, portfolio management, and distribution activities. The position partners closely with Legal to safeguard against misuse of MNPI, ensure compliance with securities laws, and promote a strong culture of compliance and ethical conduct.

Responsibilities

• Enhance, maintain, and enforce policies and procedures related to MNPI, information barriers, personal and firm trading restrictions, and conflicts of interest.
• Assist in matters involving potential MNPI, information barrier breaches, and wall‑crossing events.
• Coordinate and document wall‑crossing approvals, acknowledgements, and related controls.
• Support the administration and oversight of the firm’s Restricted Trading List (RTL), including adding, monitoring, and removing securities based on MNPI considerations.
• Conduct trading activity surveillance against RTL restrictions and escalate potential violations for investigation and remediation.
• Maintain documentation supporting RTL decisions and audit trails for regulatory review.
• Support investigations into potential MNPI misuse, information barrier breaches, or trading violations, including coordination with Legal and HR as appropriate.
• Assist in the development of targeted training on MNPI, information barriers, and RTL obligations for employees with elevated risk exposure.
• Coordinate monitoring of regulatory developments, enforcement actions, and industry trends related to insider trading and MNPI controls.

Qualifications

• 2-5 years of experience, preferably with demonstrated experience in a control room function or overseeing MNPI, insider trading, or information‑barrier programs
• Strong understanding of U.S. securities laws and regulations related to insider trading and market abuse (i.e. Exchange Act Section 10(b), Rule 10b‑5)
• Experience in trading surveillance controls
• Strong written and verbal communication skills, with the ability to clearly articulate risk and compliance requirements
• Highly organized, detail‑oriented, and comfortable managing confidential information
• Collaborative, pragmatic, and able to operate effectively across business, legal, and compliance functions
• Able to thrive 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 $70,000 to $85,000.  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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

About the Role

iCapital is looking for a Compliance Analyst/Associate candidate to join its Regulatory and Compliance team to lead the review and approval process for investor AML/ KYC with a strong private fund focus. The candidate will be responsible for ensuring compliance with all AML/KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.    

Responsibilities 

• Review of investor/client AML/KYC documentation, client communications, quarterly reporting and ongoing monitoring.
• Perform third party reliance testing and monitoring.
• Collaborate across various business lines on new initiatives, providing compliance guidance 
• AML screening review and dispositions.
• Assist in preparing for and responding to inquiries and audits. 

Qualifications 

• 1-4 years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
• Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
• AML/KYC knowledge of regulatory requirements for private fund investors
• Experience with AML screening resolution vendor tools (LexisNexis, Worldcheck, ComplyAdvantage, etc.)
• Excellent verbal communication skills and strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• ACAMS certification preferred, but not required
• JD a plus, but not required 

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 3 days a week with the flexibility to work remotely 2 days.

Benefits

iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, and equity for all full-time employees; healthcare with 100% employer-paid health and dental insurance.

For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc

About the Role

iCapital is looking for an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team, focusing on Distribution Compliance in Latin America. The candidate will provide compliance advisory and supervisory support for the firm’s distribution of alternative investment products across Latin American markets. This position partners closely with the Distribution, Legal, Product, and Global Compliance teams to ensure distribution, marketing, and investor communications comply with applicable FINRA rules, U.S. securities laws, and jurisdiction-specific and cross border requirements.

Responsibilities

• Serve as the primary compliance contact to distribution teams covering Latin America.
• Provide guidance on cross border solicitation rules, private placement regimes, and interaction with non-U.S. investors and placement agents in Latin America.
• Coordinate with local counsel to assess regulatory risk, confirm permissible activity, and document jurisdiction specific compliance positions.
• Support compliance with Regulation D and Regulation S offerings marketed to non-U.S. investors, including establishing controls around selling restrictions and disclosure considerations.
• Assist in developing and enhancing written supervisory procedures and governance frameworks related to the distribution of alternative investments.
• Maintain and update policies and procedures based on new regulatory developments and new business initiatives.
• Monitor and assess regulatory developments impacting distribution of alternative investments in Latin America, including regulatory guidance and enforcement trends.

Qualifications

• 7-10+ years of experience, preferably with both broker dealer and registered investment advisor experience
• Strong working knowledge of FINRA broker‑dealer rules, SEC regulations, and cross‑border offering frameworks (including Reg D and Reg S)
• Demonstrated experience supporting private placement or alternative investment distribution to non‑S. investors in Latin America
• Able to work effectively across regions and communicate complex jurisdiction‑specific regulatory issues to business stakeholders
• Strong judgment, attention to detail, and a practical, risk‑based approach to compliance
• Excellent verbal communication skills and strong ability for personal interaction
• Thrives in a fast-paced environment with a continuous learning mindset
• Self-motivated with robust project management and process development skills
• Bilingual proficiency (English and Spanish) is preferred
• JD is a plus, but not required

Benefits

The base salary range for this role is $135,000 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).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.