VP of Regulatory & Compliance, iCapital
Corporate AML Oversight
$155-180k
+ equity and annual performance bonus
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
$155-180k
+ equity and annual performance bonus
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
- 10+ years of relevant experience in AML and BSA, financial crimes, regulatory compliance, or related risk-management roles within financial services
- Bachelor's degree is required; JD, advanced degree, or other relevant professional certification is a plus
- Significant experience within a broker-dealer, investment adviser, asset manager, private funds organization, bank, or comparable regulated financial institution
- Strong working knowledge of the Bank Secrecy Act, USA PATRIOT Act, FinCEN regulations and guidance, OFAC requirements, FINRA AML requirements, and relevant SEC requirements and expectations
- Experience assessing complex legal entities, private investment structures, funds, financial intermediaries, or institutional relationships strongly preferred
- Able to interpret regulatory requirements and translate them into practical controls and governance standards
- Strong written and verbal communication skills with the ability to communicate complex regulatory matters to senior management and business stakeholders
- Demonstrated ability to challenge existing processes constructively and drive remediation across multiple functions
- CAMS certification is strongly preferred
What the job involves
- ICapital is seeking a Corporate Anti-Money Laundering (AML) Oversight Vice President to join its Regulatory and Compliance organization and support the AML team
- This individual will serve as a senior subject-matter expert responsible for providing oversight of AML controls across applicable U.S. and international businesses
- This role will partner closely with Legal, Compliance, Risk, business stakeholders, and other control functions to assess regulatory requirements, oversee the effectiveness of the AML control environment, identify emerging risks, and support the firm's ongoing regulatory readiness
- Support the oversight, maintenance, and ongoing enhancement of the firm’s U.S. AML/CFT compliance framework, including policies, procedures, standards, internal controls, governance, and monitoring
- Monitor developments involving applicable BSA, FinCEN, OFAC, SEC, and FINRA requirements and translate regulatory changes and emerging expectations into practical enhancements to the firm’s AML control environment
- Provide AML subject-matter expertise and guidance to Compliance, Legal, Risk, Operations, Product, Technology, and business stakeholders
- Evaluate new products, services, distribution arrangements, client relationships, and business initiatives for potential AML/CFT and sanctions implications and recommend appropriate risk mitigation
- Facilitate enterprise and business-specific AML/CFT risk assessments, identify control gaps and enhancement opportunities, and establish oversight metrics and management information to monitor trends and areas requiring escalation
- Provide Compliance oversight of higher-risk customer, investor, intermediary, and counterparty relationships, including AML/KYC escalations involving sanctions exposure, politically exposed persons, adverse media, complex ownership structures, jurisdictional risk, and other elevated financial-crime concerns
- Advise stakeholders on enhanced due diligence, risk mitigation, escalation, and disposition, and support investigations involving potentially unusual or suspicious activity through the firm’s established SAR governance process
- Assist with senior-management and committee reporting on AML risk, regulatory developments, significant issues, remediation initiatives, and program effectiveness while maintaining clear documentation of the firm’s AML governance and oversight framework
- Coordinate and support AML-related regulatory examinations, internal audits, independent testing, compliance reviews, and regulatory information requests, ensuring responses and supporting documentation are complete and appropriately supported
- Provide oversight of third parties performing AML/KYC activities, including developing risk-based due diligence, monitoring, and testing standards and assessing policies, controls, staffing, systems, screening practices, escalation processes, and regulatory adherence
- Escalate material third-party or program deficiencies and oversee corrective-action and remediation plans in coordination with relevant Compliance, Operations, Legal, Technology, and business stakeholders
- Support the development and delivery of risk-based AML/CFT training and targeted guidance on regulatory expectations, emerging financial-crime risks, escalation requirements, and AML red flags to promote consistent application of AML standards across U.S. businesses
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.
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