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

About the Role

iCapital is looking for an Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.  

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 relation teams on ongoing fundraises and investor issues.
• Provide deficiency comments for investor subscription materials.

Qualifications