IcapitalnetworkRegulatory and Compliance

ETF and 1940 Act Registered Funds Compliance Officer - Vice President

Salt Lake Cityonsitevp$125K – $155K

via Greenhouse

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About this role

About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, 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‑…

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This role is based in Salt Lake City. We weight your proximity and willingness to relocate.

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