Regulatory & Compliance Associate, iCapital
$70-95k
+ Bonus & Equity
4 days a week in office
Fintech platform for alternative investments
Be an early applicant
Fintech platform for alternative investments
1001+ employees
Be an early applicant
$70-95k
+ Bonus & Equity
4 days a week in office
1001+ employees
Company mission
To transform the world's investment industry for better outcomes.
Role
Who you are
- 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
- Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
- Comfortable leading discussions and initiatives with senior internal and external stakeholders
- Able to manage multiple deadlines and projects
- Organized and detailed oriented with big picture capability
- Strong interpersonal and leadership skills
- Willingness to learn new topics and work in an evolving business environment
- Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies
What the job involves
- 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
- 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-related matters
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
42% employee growth in 12 months
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.
Salary benchmarks
We don't have enough data yet to provide salary benchmarks for this role.
Submit your salary to help other candidates with crowdsourced salary estimates.
Share this job
View 36 more jobs at iCapital