iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $176 billion in global client assets invested in 1,433 funds, as of December 2023.
iCapital has been named to the Forbes Fintech 50 for six consecutive years (2018-2023); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a three-time winner of MMI/Barron’s Solutions Provider award (See link below).
About the Role
iCapital is seeking a Compliance Officer to join the Global Regulatory and Compliance Team, based in London. This role will assist with a variety of regulatory activities both at the firm level and for investment vehicles. The successful hire will take full responsibility for all regulatory and compliance matters for iCapital’s business in the UK and support the regulatory oversight of the cross-border business in Europe and in the Middle East. iCapital operates through a number of 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 UK office is operating within the letter and the spirit of the regulations.
Responsibilities
Define compliance strategy and guidelines to support the firm’s growth across the UK in a sustainable and compliant way.
Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them.
Develop and implement appropriate controls and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in the UK.
Act as “Compliance Knowledge Center” within the firm and trusted advisor to Senior Management, providing guidance and training on compliance topics if needed.
Qualifications
5+ years of experience of senior legal, compliance, operations and regulatory experience with a financial entity regulated by the FCA
Familiarity with UK and EU rules, including MiFID and AIMD framework.
Compliance Legal expertise - specifically in the UK and cross-border activity in the EU (and experience with the Middle East would be a plus).
Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm.
In-depth knowledge of cross-border regulations.
Mother tongue / native-level English communication for collaboration with head office and external, international stakeholders and suppliers.
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; and generous paid time off (PTO).
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-usTwitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer:https://www.icapitalnetwork.com/about-us/recognition/
