Regulatory & Compliance - Associate

About the Role

iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team to support our Compliance team in ensuring adherence to applicable securities laws, regulations, and internal policies. The ideal candidate will have experience in regulatory compliance within the investment industry and a strong understanding of National Instrument requirements and regulatory expectations for PMs, EMDs, and IFMs. This role will assist with a variety of regulatory activities both at the company level and for investment vehicles. This individual will be responsible for all regulatory and compliance matters for iCapital’s business in Canada. iCapital operates through several different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner with the business teams to ensure that our Canadian office is operating within the letter and the spirit of the regulations.

Responsibilities

• Assist in the development, implementation, communication, maintenance, and monitoring of compliance policies and procedures to ensure adherence to securities regulations (i.e. NI 31-103, NI 81-103, and NI 45-106).


• Foster a culture of compliance across the organization.


• Establish strong working relationships with business partners and other stakeholders.


• Collaborate with various departments within iCapital, to ensure alignment on compliance issues.


• Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance.


• Support the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings.


• Manage the Canada Compliance Calendar and ensure that all due dates and responsible individuals or parties are held accountable.


• Support regulatory audits, inquiries, and inspections by securities regulators, as required.


• Monitor and track regulatory developments and update internal policies accordingly.


• Assist with compliance training and attestations for employees, ensuring ongoing awareness of regulatory requirements and ethical standards.


• Coordinate and organize board meetings, including preparation of packages and minutes.


• Maintain compliance records and support the management of regulatory filings, certifications, and other compliance-related documents.


• Contribute to the implementation and continuous improvement of programs, processes, policies, and tools to meet or exceed regulatory requirements, industry best practices, and achieve organizational goals.


• Support the Canada Legal and Compliance team overall and provide back-up for the other members of the team.

Qualifications

• 2-5 years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities


• Bilingual in English and French


• Compliance expertise in the private fund and investment management space


• Experience with regulatory filings is a plus


• Excellent analytical skills, attention to detail, and able to interpret regulatory requirements


• Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company


• Strong written and verbal communication skills


• Able to manage multiple tasks, meet deadlines, and work independently or as part of a team


• Strong computer skills, including MS Suite (i.e. Word, Excel, and PowerPoint, and DocuSign)

Benefits

The base salary range for this role is CAD 80,000 to CAD 95,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit Twitter: @icapitalnetwork | LinkedIn: | Awards Disclaimer:

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.