---
title: 'ETF and 1940 Act Registered Funds Compliance Officer - Vice President at iCapital'
canonical: 'https://feeny.ai/job/etf-and-1940-act-registered-funds-compliance-officer-vice-president-icapital-7eh7r43vnsak'
type: 'job'
last_seen: '2026-10-25'
---

# ETF and 1940 Act Registered Funds Compliance Officer - Vice President at iCapital

- **Company:** iCapital
- **Location:** Greenwich, CT
- **Posted:** 2026-10-21
- **Last confirmed live:** 2026-10-25
- **Apply:** https://job-boards.greenhouse.io/icapitalnetwork/jobs/8906442002

## Job description

## About the Role

iCapital is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.

## Responsibilities

- Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑11.
- Oversee the administration of the Fund's compliance and governance framework.
- Assist in monitoring compliance with fund governing documents.
- Advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
- Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
- Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures.
- Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders.
- Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
- Oversee product‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
- Conduct post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
- Support trading oversight frameworks, including best execution governance and related compliance practices.
- Perform compliance testing, reporting, and remediation tracking to ensure timely resolution of issues.
- Oversee and coordinate compliance reviews of third‑party service providers, including administrators, custodians, legal counsel, and auditors.

## Qualifications

- Bachelor’s degree is required; Law Degree or MBA is preferred
- 10+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
- Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
- Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
- Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
- Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
- Experience evaluating risk and mapping risk and controls across firm practices
- Skilled at developing other team members through mentoring or helping upskill
- Able to operate in a fast-paced environment
- Detail oriented with the ability to assess and prioritize projects
- FINRA Series 7 and 24 licenses are preferred

## Benefits

The base salary range for this role is $150,000 to $180,000. 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 X: @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.

## About iCapital

## Company Overview
- **One-liner**: iCapital is the leading global financial technology platform that transforms how financial advisors, asset managers, and wealth managers access and manage alternative investments.
- **Entity Type**: Private (late-stage)
- **Headquarters**: New York City, New York, USA
- **Founded**: 2013
- **Founders**: Lawrence Calcano (Chairman & CEO) and others

## Core Business
- Primary industry/industries: Fintech, Wealth Management, Alternative Investments
- Target customers: B2B – financial advisors, wealth managers, asset managers, and private banks
- Mission or purpose statement: "Transform the World’s Investment Industry for Better Outcomes" by streamlining financial operations, enhancing technology infrastructure, and empowering smarter decision-making through reporting and analytics.

## Products & Services
- **iCapital Marketplace**: A digital platform connecting wealth advisors and their high-net-worth clients to a curated selection of alternative investment funds (private equity, private credit, real estate, hedge funds).
- **Enterprise Solutions**: White-label technology and operational infrastructure for large financial institutions to offer alternatives to their clients under their own brand.
- **Data Intelligence**: AI-driven data management, reporting, and analytics tools (including capabilities from acquired firms Mirador and AltExchange) that provide portfolio transparency and performance insights.
- **Annuities Platform**: A technology solution for distributing and managing fixed and structured annuities.
- **Alternatives Distribution**: Services that help fund managers and issuers reach new sources of capital through the iCapital network.

## Market Standing
- **Valuation**: Over $7.5 billion (as of the company’s most recent capital raise, according to icapital.com/about-us/)
- **Key Metric**: $61.1 billion in active global assets on platform (as of May 31, 2026); over 1,200 fund manager/issuer relationships; 135,000+ financial professional users
- **Notable Investors/Partners**: BlackRock (strategic investment), Ping An, Goldman Sachs, AMG, Hamilton Lane, WestCap, Citi Wealth (acquired its alternative investments feeder platform)
- **Growth Signals**: Completed over $820 million in total capital raised; acquired multiple companies including Mirador (data management), AltExchange (AI-driven tech), and Parallel Markets (digital identity/compliance); recognized by Euromoney as "World’s Best Technology Provider for Wealth Management," named to CNBC’s World Top 250 Fintech Companies, and Forbes Fintech 50

## Competitive Advantages
- **Network Effects**: The largest open-architecture platform for alternatives, connecting thousands of advisors, hundreds of fund managers, and large financial institutions.
- **Scale & Trust**: With over $61B in assets and partnerships with the world’s largest banks and asset managers, iCapital has a deeply entrenched position.
- **End-to-End Technology**: A fully integrated suite covering deal sourcing, onboarding, compliance, reporting, and analytics — reducing operational friction for all parties.
- **Global Reach**: 16 offices worldwide (New York, Zurich, London, Hong Kong, Singapore, Tokyo, Toronto, Lisbon, Sydney, Abu Dhabi, and more), providing a truly international footprint.

## Strategic Focus
- **Global Expansion**: Deepening presence in Europe, Asia-Pacific, and the Middle East.
- **Platform Expansion**: Moving beyond traditional alternatives into structured investments and annuities.
- **AI & Data Leadership**: Leveraging acquisitions like AltExchange to embed AI-driven analytics and automation across the platform.
- **Institutional Partnerships**: White-labeling the platform for large banks and wealth managers to scale alternatives distribution.

## Why Work Here
- **Culture**: iCapital emphasizes open communication, transparency, integrity, collaboration, and excellence. The company has been recognized as a "Best Workplace" by Great Place to Work in Portugal and a "Best Startup Employer" by Forbes.
- **Growth & Development**: The company views learning and development as a critical investment, with career growth initiatives at every level — from recent graduates to senior managers. The company has grown from its 100th employee milestone to hundreds of employees globally, offering significant upward mobility.
- **Global & Collaborative Environment**: With 16 offices worldwide and an industry-leading R&D center in Lisbon, employees work on truly global teams. The company hosts monthly social events and volunteer opportunities.
- **Benefits**: Generous unlimited paid-time off (PTO), employer-matched retirement plan, 100% employer-paid dental, vision, telemedicine, and virtual mental health counseling, and subsidized health care. Benefits vary by country.
- **Office Policy**: Hybrid/office-based presence across global hubs. Offices are described as having fully-stocked kitchens and a collaborative atmosphere.

## Sources
1. [icapital.com](https://icapital.com/)
2. [icapital.com/about-us/](https://icapital.com/about-us/)
3. [icapital.com/careers/](https://icapital.com/careers/)
4. [job-boards.greenhouse.io/icapitalnetwork](https://job-boards.greenhouse.io/icapitalnetwork)
5. [linkedin.com/company/icapital-network-inc](https://www.linkedin.com/company/icapital-network-inc)

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