Investment Adviser Career Center

This position provides dedicated administrative, operational and compliance support to two members of our leadership team: the Director of Operations and the Chief Compliance Officer. You will help keep firm operations efficient and our compliance program organized and examination-ready. Compliance duties are supportive in nature and performed under the direction of the Chief Compliance Officer. The right candidate is highly organized, comfortable with deadlines and detail, and interested in the operational and regulatory side of a registered investment advisory firm.  Key responsibilities   Operations support Manage calendars, meetings, travel and correspondence for the Director of Operations  Coordinate new account paperwork, custodian forms and money movement requests with the client service team  Track vendor contracts, software subscriptions, insurance renewals, office leases and invoices  Support onboarding of new employees, including equipment, system...

About the Role iCapital is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.   Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑11. Oversee the administration of the Fund's compliance and governance framework.   Assist in monitoring compliance with fund governing documents. Advise on regulatory developments affecting...

About the Role iCapital is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.   Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑11. Oversee the administration of the Fund's compliance and governance framework.   Assist in monitoring compliance with fund governing documents. Advise on regulatory developments affecting...

About the Role iCapital is looking to hire a Compliance Officer to support the relevant investment advisers serving the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This individual will assist with the implementation and administration of compliance programs for the firm’s SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities involving these products or entities.  Responsibilities Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c‑11. Support the administration of the funds’ compliance and governance framework.  Assist in monitoring compliance with fund governing documents. Monitor regulatory developments affecting ETFs, including...