Regulatory Reporting - Vice President
icapital networkBrooklyn, NY
$150,000 to $175,000APPLY NOW (opens in a new tab)
Regulatory Reporting - Vice President
icapital networkBrooklyn, NY
today
Industries
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment Activities$150,000 to $175,000
APPLY NOW (opens in a new tab)About the role
Overview:
In this role you will lead regulatory reporting for RIAs, ensuring accurate filings and staying ahead of evolving rules. You will work with senior Compliance leaders to own end-to-end reporting, drive process improvements, and leverage technology to support both internal and external reporting. You will shape the team’s approach to regulatory developments and provide guidance on risk and controls across firm practices. This is an opportunity to influence how iCapital meets complex compliance requirements at scale while partnering with cross-functional stakeholders. Compensation / Benefits base salary $150,000 to $175,000 equity for all full-time employees annual performance bonus comprehensive benefits package employer matched retirement plan 100% employer-paid dental, vision, telemedicine, and mental health counseling
Responsibilities:
Oversee preparation of regulatory filings (Form D, blue-sky notices, Form ADV, Form PF, 34 Act filings, BE-185, and similar international filings) Advise on regulatory developments affecting RIAs’ filings Own end-to-end process of regulatory reporting and provide compliance leadership Develop and implement compliance functions and tests Leverage firm technology for internal and external reporting Develop new procedures and amend existing ones Monitor industry and regulatory developments and assess impact Liaise with internal and external stakeholders
Key requirements:
Bachelor's degree in a related field 8+ years of experience focused on private funds and RIAs Strong knowledge of Form ADV, Form PF, Form D, blue-sky and 1934 Act reporting Excellent written and verbal communication Ability to thrive in a fast-paced environment with a learning mindset Self-motivated with project management and process development skills Experience with regulatory examinations or interactions with the SEC, FINRA, NFA Experience mapping risk and controls across firm practices Mentoring or upskilling team members Detail-oriented with prioritization of projects strong communication mentoring/m coaching detail orientation Regulatory reporting knowledge process development and project management risk assessment and controls
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JOB OVERVIEW
Salary
$150,000 to $175,000
Experience level
Manager
Location
Brooklyn, NY
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
today
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