Posted 47m ago•New York, New York, United States
Regulatory and Compliance, AML - Assistant Vice President
MiddleOn-site (New York)Salary undisclosed
Job Description
About the Role
iCapital is looking to hire a Compliance Assistant Vice President to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role will be responsible for ensuring compliance with all AML and KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.
Responsibilities
- Review of investor and client AML and 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.
- Conduct AML screening review and dispositions.
- Assist in preparing for and responding to inquiries and audits.
Qualifications
- 5+ 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 and KYC knowledge of regulatory requirements for private fu
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