Regulatory and Compliance, AML - Assistant Vice President

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

Requirements

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

Nice to have

ACAMS certification is preferred; JD is a plus; Preferably with broker dealer and registered investment advisor experience

Benefits

Base salary range of $85,000 to $110,000; Compensation package including salary, equity for all full-time employees, and an annual performance bonus; Employer matched retirement plan; Generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling; Parental leave; Unlimited paid time off (PTO)