Regulatory and Compliance - Associate
- Pay
- $70,000 – $95,000 per year
- Location
- Greenwich, CT
- Job type
- Full-time
- Level
- Mid-level
- Experience
- 2+ years
- Listed
- 31 days ago
Skills & highlights for this role
- Form ADV
- Form PF
- SEC private fund filings
- regulatory reporting
- Regulation D
Also useful
- blue-sky filings
- BE-185
- Form SLT
- Form 45-106F1
Stated benefits & perks
- Healthcare
- Dental
- Vision
- Unlimited pto
- Parental leave
About the Role
iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.
Responsibilities
- Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
- Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
- Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital's activities and reporting requirements, as well as discuss such changes with senior management.
- Inform senior management of any material regulatory or operational changes.
- Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.
- Assist with ad-hoc compliance-related matters.
Qualifications
- 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
- Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
- Comfortable leading discussions and initiatives with senior internal and external stakeholders
- Able to manage multiple deadlines and projects
- Organized and detailed oriented with big picture capability
- Strong interpersonal and leadership skills
- Willingness to learn new topics and work in an evolving business environment
- Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies
Benefits
The base salary range for this role is $ 70,000 to $ 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.
Equal opportunity and legal notices
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.
From iCapital's careers page, first listed on Rolev.ai on October 10, 2026. Rolev.ai is not the employer.
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Common questions
What is the salary for the Regulatory and Compliance - Associate role at iCapital?
The Regulatory and Compliance - Associate posting at iCapital states compensation of $70,000 – $95,000 per year. It is listed as a full-time position. Final pay may depend on location, experience, and interview evaluation on iCapital's official career site.
Where is the Regulatory and Compliance - Associate job at iCapital located?
This Regulatory and Compliance - Associate position at iCapital is located in Greenwich, CT. Always check iCapital's application page for specific state eligibility or relocation policies.
What qualifications are required for Regulatory and Compliance - Associate at iCapital?
For the Regulatory and Compliance - Associate role, iCapital highlights 2+ years of relevant experience; experience with Form ADV, Form PF, SEC private fund filings, regulatory reporting, Regulation D. Rolev.ai can score your existing resume against these requirements and show any skill gaps before you apply.
How do I apply for the Regulatory and Compliance - Associate position at iCapital?
This listing links directly to iCapital's Greenhouse application page. You can apply directly on iCapital's site, or use Rolev.ai to check your resume fit, generate a zero-hallucination tailored resume and cover letter for this posting, and autofill the Greenhouse application form in 1 click with the Rolev.ai Chrome extension. You always review the form and press Submit yourself.