About the Role   iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role will focus on regulatory oversight, compliance testing, marketing review and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product.     Responsibilities   Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds.   Review registered fund filings, marketing materials, and client communications.   Perform compliance monitoring and testing under Sec. 206(4)-7 and applicable requirements under the Advisers Act and...

About the Role iCapital is seeking an ERISA Compliance Assistant Vice President to support its compliance program relating to the Employee Retirement Income Security Act of 1974 (ERISA), Department of Labor regulations, prohibited transaction exemptions, and Qualified Professional Asset Manager (QPAM) requirements. This role will support ERISA-related regulatory obligations affecting iCapital's registered investment advisers, collective investment trusts, retirement-focused investment products, and retirement-plan clients. The ideal candidate has hands-on ERISA or retirement compliance experience and can independently manage defined compliance workstreams while partnering effectively with Legal, Product, Fund Finance, Investment Management, Distribution, and senior Compliance personnel. Responsibilities Support the development, maintenance, and enhancement of ERISA compliance policies, procedures, controls, and monitoring programs in coordination with senior...