Regulatory and Compliance - Associate

 

About the Role

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

 

Responsibilities

· Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.

· Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.

· Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.

· Inform senior management of any material regulatory or operational changes.

· Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.

· Assist with ad-hoc compliance