Compliance Associate, iCapital
+ Bonus and equity
In the office Monday-Thursday
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
+ Bonus and equity
In the office Monday-Thursday
4 days a week in office
1001+ employees
Company mission
To power the world’s alternative investment marketplace.
Role
Who you are
- The ideal candidate will have experience the investment management industry and a strong understanding of the Canadian regulatory compliance requirements for investment fund managers
- 3+ years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities
- Compliance expertise in the private fund and investment management space
- Experience with regulatory filings is an asset
- Excellent analytical skills, attention to detail, and ability to interpret regulatory requirements
- Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
- Strong written and verbal communication skills
- Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
- Strong computer skills, including MS Suite – Word, Excel, and PowerPoint, DocuSign, etc
- Native-level English communication for collaboration with head office and external, international stakeholders and suppliers
What the job involves
- ICapital is seeking a Compliance Officer to join the Global Regulatory and Compliance team to support our Compliance team in Canada to ensure adherence to applicable laws, regulations and internal policies
- This role will assist with a variety of regulatory activities both at the firm level and for investment vehicles
- The individual will provide support for all regulatory and compliance matters for iCapital’s business in Canada
- ICapital operates through several different international entities, many of which are licensed to conduct regulated activities
- The successful candidate will partner with the business teams to ensure that our Canadian office is operating within the letter and the spirit of the regulations
- Assist in the development, implementation, communication, maintenance and monitoring of compliance policies and procedures to ensure adherence to securities regulations (e.g., Ontario Securities Act, NI 31-103, NI 45-106, NI 81-106)
- Foster a culture of compliance across the organization
- Establish strong working relationships with business partners and other stakeholders
- Effectively collaborate with various departments, within iCapital, to ensure alignment on compliance issues
- Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance
- Support the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings
- Manage the Canada Compliance Calendar and ensure that all due dates and responsible individuals or parties are held accountable
- Support regulatory audits, inquiries, and inspections by securities regulators, as required
- Monitor and track regulatory developments and update internal policies accordingly
- Assist with compliance training and attestations for employees, ensuring ongoing awareness of regulatory requirements and ethical standards
- Coordinate and organize board meetings, including preparation of packages and minutes
- Maintain compliance records and support the management of regulatory filings, certifications, and other compliance-related documents
- Contribute to the implementation and continuous improvement of programs, processes, policies, and tools to meet or exceed regulatory requirements, industry best practices, and/or achieve organizational goals
- Support the Canada Legal and Compliance team overall and provide back-up for the other members of the iCapital team
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 2023, the company services over $153 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 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
Company
Funding (last 2 of 8 rounds)
Dec 2021
$50m
LATE VC
Jul 2021
$440m
GROWTH EQUITY VC
Total funding: $680.6m
Company HQ
Murray Hill, New York, NY
Leadership
Lawrence Calcano
(CEO)Previously worked as Director of Capitol Acquisition Corp., and served as Director of Vibrant Emotional Health for 10 years.
Salary benchmarks
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