ETF & 1940 Act Registered Funds Compliance Officer - Vice President

Oversee ETF and 1940 Act Registered Funds compliance for iCapital, guiding regulatory monitoring and advisory for ETFs and registered funds and their investment advisers. Lead the design, implementation, and maintenance of compliance programs under Rule 206(4)-7 and Rule 38a-1; provide leadership and support for ETF and Registered Funds initiatives, including regulatory risk assessment and practical solutions. Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures. Lead compliance efforts for ETF and Registered Funds launches and product changes from concept through post-launch execution; translate regulatory requirements into scalable policies, procedures, and controls. Oversee product-specific obligations such as disclosures, premium/discount reporting, and regulatory filings; conduct pre- and post-trade monitoring and portfolio guideline testing; support trading oversight frameworks and best-execution governance. Coordinate reviews of third-party service providers (administrators, custodians, counsel, auditors) and perform remediation tracking. Maintain expert knowledge of ETF-related regulations, monitor regulatory developments, and ensure timely responses to SEC/FINRA/NFA interactions. The role requires strong regulatory knowledge, leadership, and the ability to operate in a fast-paced environment.