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 at iCapital will own and oversee the investment advisers supporting the firm’s ETF business and lead compliance strategy for related products and entities. This role is responsible for implementing and administering compliance programs for SEC-registered ETFs, registered investment advisers, and commodity pools. The position partners with Product, Portfolio Management, Operations, and external service providers to ensure regulatory adherence and readiness for launches and examinations.

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Required Skills

SEC Regulations
Compliance Programs
Regulatory Monitoring
Risk Assessment
Policy Development
Fund Structuring
Disclosure Monitoring
Trading Oversight
Compliance Testing
Vendor Management

+1 more

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.