About the role
The Regulatory and Compliance team ensures investor subscription materials meet regulatory requirements for private and registered funds. This role leads a team that reviews these documents, manages client relationships, and tracks investor data. The individual provides feedback on subscription materials to ensure compliance with relevant securities laws and FINRA rules.
Our summary of the posting; the original is on the iCapital careers page.
What the posting requires
- Required
- Project management
- Process development
- Private funds
- Registered investment advisor
- Fund structuring
- Governing documents
- Fund formation
- Alternative funds
- Investor agreements
- Preferred
- AML
- KYC
- Private fund investors
- JD
These tags are our reading of the posting. They can miss something; the original posting is the reference.