Compliance - Registered Funds

About the Role

iCapital is looking to hire an Associate Contractor to join the Compliance team. The ideal candidate will help administer and enhance iCapital's Compliance program. This role will work closely with senior Compliance and Legal team members on a variety of compliance matters such as marketing materials review and registered funds compliance activities.

Responsibilities

• Review registered fund new product marketing materials and private fund marketing materials for SEC and Client compliance.
• Review and organize registered fund client communications and quarterly reporting.
• Perform registered fund compliance testing and monitoring.
• Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
• Assist with periodic 40Act filings and certifications.

Qualifications

• 3-5 years of experience, preferably with both broker dealer and registered investment advisor experience
• Experience with alternative investments and understanding of compliance restrictions around private placements and registered products
• Experience with registered products and 40 Act compliance
• JD is a plus
• Strong communication and problem-solving skills
• Motivated to learn new topics and work in an evolving business environment
• Organized and detailed-oriented with big picture capability
• Proficient in Microsoft Excel and Word

Welcome to ConsultNet and the family of companies, Tekne, SaltClick, TechBridge, and OmniMedia. As a premier national provider of technology talent and solutions, our expertise spans across project services, contract-to-hire, direct placement, and managed services both onshore and nearshore.

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