About the Role

iCapital is looking for a Compliance Associate/Assistant Vice President candidate to join its Regulatory and Compliance team to lead the review and approval process for investor AML/ KYC with a strong private fund focus. The candidate will be responsible for ensuring compliance with all AML/KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.

Responsibilities

Review of investor/client AML/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
AML screening review and dispositions.
Assist in preparing for and responding to inquiries and audits.

Qualifications

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/KYC knowledge of regulatory requirements for private fund investors
Experience with AML screening resolution vendor tools (LexisNexis, Worldcheck, ComplyAdvantage, etc.)
Excellent verbal communication skills and strong 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
ACAMS certification preferred, but not required
JD a plus, but not required

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 4 days a week with the flexibility to work remotely 1 day ( Friday).

Benefits

iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, and equity for all full-time employees; healthcare with 100% employer-paid health and dental insurance.

For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc

AML/KYC Specialist Associate / Assistant Vice President