Vice President of Regulatory & Compliance, iCapital
UK & EMEA
More information about location
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
More information about location
4 days a week in office
1001+ employees
Company mission
To transform the world's investment industry for better outcomes.
Role
Who you are
- 6-10 years of experience in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting within financial services
- Strong understanding of FCA regulatory requirements applicable to licensed firms, including SMCR, Conduct of Business Rules, financial promotions, AML/CFT, and governance obligations
- Experience supporting regulatory reporting, financial promotion reviews, compliance monitoring, risk assessment and compliance advisory activities
- Familiarity with UK and European regulatory requirements applicable to regulated financial services firms, including cross-border distribution considerations
- Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment
- Understanding of financial crime requirements, including AML, sanctions, and KYC obligations
- Experience developing or supporting compliance training and monitoring programmes
- Excellent written and verbal communication, analytical, and organizational skills
- Knowledge of private markets, investment funds, wealth management, or fund distribution would be advantageous
- Advanced Microsoft Office skills; experience with compliance technology platforms and workflow management systems is advantageous
- The role will require the candidate to hold FCA approval to carry out the SMF17 Money Laundering Reporting Officer (MLRO) Senior Management Function
What the job involves
- ICapital is seeking a Vice President, Regulatory & Compliance to join its International Regulatory & Compliance Team, based in London. This role will support a broad range of regulatory, compliance, corporate governance, and risk management activities across the firm's UK and EMEA operations
- The successful candidate will work closely with senior members of the International Regulatory & Compliance Team to help maintain and enhance the firm's compliance framework, support regulatory obligations, and partner with the business teams to ensure that our UK & EMEA offices are operating within the letter and the spirit of the regulations
- This role offers an excellent opportunity to gain exposure to multiple regulatory regimes, private markets distribution, corporate governance, and international compliance matters within a fast-growing global organization
- Support the development and enhancement of the UK and EMEA Compliance Framework, including overseeing compliance policies, procedures, and regulatory inventories
- Monitor regulatory developments and advise business stakeholders on applicable UK, European, and Middle East regulatory requirements, including cross border distribution
- Provide compliance guidance and reviews of financial promotions, distribution activities, conflicts of interest, AML/CFT, staff compliance, and other regulatory matters
- Develop and undertake risk-based assessments, compliance monitoring and testing, and support the deployment and remediation of identified issues
- Oversee and deliver compliance training and maintain appropriate training records
- Support regulatory reporting and governance obligations, including FCA filings and attending board meetings
- Maintain corporate governance records, regulatory registers and filings, board documentation, and support responses to regulatory enquiries, audits, and examinations
- Assist with financial crime and employee compliance programmes, including third party onboarding, AML/CFT, sanctions, personal account dealing, gifts and entertainment, outside business interests, annual attestations, investigations, incidents, breaches, and regulatory recordkeeping
- Improve compliance processes and controls, including through the responsible use of AI and other technology
- Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients
- The role reports to the International Regulatory & Compliance leadership team and works closely with colleagues across Legal, Risk, Client Solutions, Product, Operations, Finance and Corporate Governance functions
Salary benchmarks
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.
Share this job
View 41 more jobs at iCapital