Regulatory and Compliance Associate, iCapital
Private Funds Marketing
$85-115k
Monday-Thursday in office
4 days a week in office
Fintech platform for alternative investments
Open for applications
Fintech platform for alternative investments
1001+ employees
Open for applications
$85-115k
Monday-Thursday in office
4 days a week in office
1001+ employees
Company mission
To transform the world's investment industry for better outcomes.
Role
Who you are
- Bachelor's degree in a related field
- 2-5+ years of experience, preferably with both broker dealer and registered investment advisor experience
- Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
- Experience with alternative investments, primarily private funds, as well as an understanding of compliance restrictions around private placements and registered products
- Excellent verbal and interpersonal communication skills
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- JD is a plus
What the job involves
- ICapital is looking for a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer
- There will be a strong focus on marketing materials for private funds
- The ideal candidate will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance teams with various compliance focused tasks, including updates to policies and procedures and monitoring and testing
- Review of marketing materials, client communications, diligence reports, research and quarterly reporting, among other materials for SEC and FINRA compliance
- Perform compliance testing and monitoring for marketing related materials
- Collaborate across various business lines on new marketing initiatives, providing compliance guidance
- Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives
- Contribute to developing and conducting company-wide training to meet both SEC and FINRA obligations
- Help prepare for and respond to inquiries and audits from regulatory authorities
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
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