Regulatory and Compliance Associate, iCapital

AML

$85-110k

+ Equity and annual performance bonus

Junior and Mid level

New York

More information about location

4-5 days a week in office

Fintech platform for alternative investments

Be an early applicant

Fintech platform for alternative investments

1001+ employees

FintechB2BBankingInvestingSaaS

Be an early applicant

$85-110k

+ Equity and annual performance bonus

Junior and Mid level

New York

More information about location

4-5 days a week in office

1001+ employees

FintechB2BBankingInvestingSaaS

Company mission

To transform the world's investment industry for better outcomes.

Job

Company

Role

Who you are

1-4 years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
AML and KYC knowledge of regulatory requirements for private fund investors
Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck, ComplyAdvantage)
Excellent verbal communication skills with the ability for personal interaction
Thrives in a fast-paced environment with a continuous learning mindset
Self-motivated with robust project management and process development skills
ACAMS certification is preferred
JD is a plus

What the job involves

ICapital is looking to hire a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role will be responsible for ensuring compliance with all AML and KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks
Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring
Perform third party reliance testing and monitoring
Collaborate across various business lines on new initiatives, providing compliance guidance
Conduct AML screening review and dispositions
Assist in preparing for and responding to inquiries and audits

Our take

Alternative investing can yield huge profits, but it can often be inaccessible, even to enterprises. iCapital solves this problem by guiding large-scale businesses through the alternative investing process.

Since launching in 2013, iCapital has provided enterprises with an investing marketplace. Its focus has been on banking, wealth management, and asset management companies, and iCapital now serves clients such as JP Morgan, Evercore, and Rockefeller. As of February 2025, the company services nearly $500 billion in global client assets, clear evidence of industry confidence in the company.

iCapital's impact on the financial world is undeniable, forging strong and profitable partnerships with leading institutions like Morgan Stanley. With a proven track record, impressive funding and a rapidly growing platform, iCapital is poised for significant further expansion in the years to come.

Steph

Company Specialist at Welcome to the Jungle

Insights

Top investors

42% employee growth in 12 months

Glassdoor (4.2)

Company

Funding (last 2 of 9 rounds)

Jul 2025

$820m

SERIES E

Dec 2021

$50m

LATE VC

Total funding: $1.5bn

Company HQ

Murray Hill, New York, NY

Leadership

Lawrence Calcano

(CEO & Chairman)

Previously worked as Director of Capitol Acquisition Corp., and served as Director of Vibrant Emotional Health for 10 years.

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