Financial Crimes Compliance Manager, Vice President

United States·Greenwichexecutive

Legal & ComplianceCompliance Specialist

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Quick Summary

Overview

About the Role iCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team.

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Legal & ComplianceCompliance Specialist

About the Role

~1 min read

iCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The candidate will be responsible for ensuring compliance with AML regulatory requirements within the United States and other iCapital regions.

Responsibilities

~1 min read

→Review ad-hoc requests from iCapital stakeholders to ensure compliance with AML regulations.
→Oversee third party reliance testing and monitoring.
→Review high-risk escalations to provide recommendations to senior members of the Compliance team.
→Coordinate with regulators and auditors through routine examinations.
→Investigate unusual and suspicious activity, recommending SAR filings to the SAR Committee.
→Complete AML and KYC Due Diligence Questionnaires.
→Review escalations from the international Compliance team.

Requirements

~1 min read

10-15 years of experience, preferably with financial institution, broker dealer and registered investment adviser experience focusing primarily on AML, CFT and Sanctions compliance
Expertise of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
AML and KYC knowledge of regulatory requirements for private fund investors
ACAMS certification
JD is a plus

What We Offer

~1 min read

The base salary range for this role is $150,000 to $175,000. 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 https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

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.