Posted 2h ago•Greenwich, Connecticut, United States
ETF and 1940 Act Registered Funds Compliance Officer - Vice President
MiddleOn-site (Greenwich)Salary undisclosed
Job Description
About the Role
iCapital is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, 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‑11.
- Oversee the administration of the Fund's compliance and governance framework.
- Assist in monitoring compliance with fund governing documents.
- Advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
- Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
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