Chief Compliance Officer, ETFs - Senior Vice President

iCapital(9 hours ago)

HybridFull TimeExecutive$180,000 - $240,000Compliance

About this role

The ETF Chief Compliance Officer will own and oversee compliance for the firm’s exchange-traded fund business and the investment advisers supporting it. This role leads the implementation and administration of compliance programs for SEC‑registered ETFs, registered investment advisers, and commodity pools. The position represents the firm on regulatory matters and ensures adherence to SEC, CFTC, NFA, and related rules.

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Required Skills

Regulatory Knowledge
Compliance Testing
Policy Design
Risk Assessment
ETF Structuring
Disclosure Monitoring
Trading Oversight
Third-Party Oversight
Leadership

Qualifications

Bachelor's Degree
Law Degree
MBA
FINRA Series 7
FINRA Series 24

About iCapital

icapital.com

iCapital is a financial technology and distribution platform that powers access to alternative investments—private equity, hedge funds, structured products and annuities—for financial advisors, wealth managers and asset managers. The company combines a marketplace, technology infrastructure and operational services to help advisors incorporate alternatives at scale and help asset managers open new channels of distribution. iCapital also provides due diligence, reporting and compliance support to streamline onboarding, transactions and ongoing portfolio administration.