Regulatory and Compliance, Subscription Document Review - Associate
- Pay
- $90,000 – $115,000 per year
- Location
- New York, NY
- Job type
- Full-time
- Level
- Entry level
- Experience
- 1+ year
- Listed
- 31 days ago
Skills & highlights for this role
- Investment Company Act of 1940
- Securities Act of 1933
- limited liability company agreements
- trust agreements
Also useful
- AML
- KYC
- FINRA rules
- JD
Stated benefits & perks
- Health
- Dental
- Vision
- Unlimited pto
- Parental leave
About the Role
iCapital is looking for a Subscription Document Review Associate to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.
Responsibilities
- Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
- Create and maintain Excel spreadsheets and reports tracking investor subscriptions, deadlines, and transaction-related data.
- Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
- Communicate with investment relation teams on ongoing fundraises and investor issues.
- Draft deficiency comments for investor subscription materials.
Qualifications
- 1-3 years of alternatives experience, preferably with private funds and registered investment advisor experience
- Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds
- Experience reviewing governing documents for investors, (i.e. limited liability company agreements and trust agreements)
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933
- AML and KYC knowledge of regulatory requirements for private fund investors is a plus
- Excellent verbal communication skills and strong ability for personal interaction
- Professionalism both client-facing and internally
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- JD is a plus
Benefits
The base salary range for this role is $ 90,000 to $ 115,000. 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.
How Rolev.ai helps with this application
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Common questions
What is the salary for the Regulatory and Compliance, Subscription Document Review - Associate role at iCapital?
The Regulatory and Compliance, Subscription Document Review - Associate posting at iCapital states compensation of $90,000 – $115,000 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, Subscription Document Review - Associate job at iCapital located?
This Regulatory and Compliance, Subscription Document Review - Associate position at iCapital is located in New York, NY. Always check iCapital's application page for specific state eligibility or relocation policies.
What qualifications are required for Regulatory and Compliance, Subscription Document Review - Associate at iCapital?
For the Regulatory and Compliance, Subscription Document Review - Associate role, iCapital highlights 1+ year of relevant experience; experience with Investment Company Act of 1940, Securities Act of 1933, limited liability company agreements, trust agreements. 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, Subscription Document Review - 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.