Regulatory and Compliance, Registered Funds - Senior Vice President
$190,000–$225,000 year
HybridGreenwich, Connecticut, United States
Job Summary
Maintain expert knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940 while monitoring regulatory developments affecting Registered Funds and Investment Advisers. Provide compliance leadership for Registered Funds initiatives, including identifying risks, advising Product and Portfolio Management teams on structuring and disclosures, and leading launches from concept through post-launch execution. Translate requirements into scalable policies, oversee product-specific obligations like disclosure monitoring and trade error resolution, and conduct pre/post trade compliance testing with remediation tracking. Coordinate compliance reviews of third-party service providers including administrators, custodians, and auditors. This role supports iCapital's registered 1940 Act product program, requiring Monday-Thursday office presence with remote flexibility on Fridays.
Required Qualifications
- Bachelor's degree
- Series 7 license
- Series 24 license
- 10+ years of experience
- Strong knowledge of the Investment Company Act of 1940
- Strong knowledge of the Investment Advisers Act of 1940
- Strong knowledge of the Securities Act of 1933
- Strong knowledge of the Securities Exchange Act of 1934
- Strong knowledge of SEC Rule 482
- Strong knowledge of applicable FINRA rules including FINRA Rule 2210
- Experience with registered investment company EDGAR filings including shareholder reports (N-CSR) and tender offers (SC TO-I)
- Strong interpersonal and leadership skills
- Organized and detailed oriented with big picture capability
- Proficient in MS Excel
- Proficient in MS Word
Desired Qualifications
- JD
- preferably with both Registered Fund and registered Investment Adviser experience
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