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    iCapital Network

    Financial Technology

    Regulatory and Compliance, AML - Assistant Vice President

    New York, United StatesRemoteFull-time$110k – $145k / yearPosted 1w ago
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    Job description

    About the Role

    iCapital is looking to hire a Compliance Assistant Vice President to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role will be responsible for ensuring compliance with all AML and KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.

    Responsibilities

    • Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
    • Perform third party reliance testing and monitoring.
    • Collaborate across various business lines on new initiatives, providing compliance guidance.
    • Conduct AML screening review and dispositions.
    • Assist in preparing for and responding to inquiries and audits.

    Qualifications

    • 5+ years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
    • Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
    • AML and KYC knowledge of regulatory requirements for private fund investors
    • Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck, ComplyAdvantage)
    • Excellent verbal communication skills with the ability for personal interaction
    • Thrives in a fast-paced environment with a continuous learning mindset
    • Self-motivated with robust project management and process development skills
    • ACAMS certification is preferred
    • JD is a plus

    Benefits

    The base salary range for this role is $110,000 to $145,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

    We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

    For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

    iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

    Job details are sourced from the employer's original posting.

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    About the company

    iCapital Network

    iCapital Network is the financial technology platform democratizing alternative investments with complete tech-based solutions for investors, advisors and asset managers. The firm’s flagship platform offers high-net-worth investors and independent wealth advisors a curated menu of private equity and hedge funds at lower minimums with a full suite of due diligence and administrative support in a secure digital environment. Banks and asset managers leverage iCapital’s tech-enabled services to streamline and scale their private investments operational infrastructure. iCapital was included in the 2018 Forbes FinTech 50 and as of June 30, 2018 serviced more than $6 billion in invested capital across more than 14,000 underlying accounts.

    View all iCapital Network jobs
    Industry
    Financial Technology
    Open roles
    215

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