---
title: 'Regulatory and Compliance - Associate at iCapital'
canonical: 'https://feeny.ai/job/regulatory-and-compliance-associate-icapital-toronto-kfdc93h8xydp'
type: 'job'
last_seen: '2026-09-06'
---

# Regulatory and Compliance - Associate at iCapital

- **Company:** iCapital
- **Location:** Toronto, Canada
- **Posted:** 2026-06-03
- **Last confirmed live:** 2026-09-06
- **Apply:** https://job-boards.greenhouse.io/icapitalnetwork/jobs/8572102002

## Job description

## About the Role

iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team to support our Compliance team in ensuring adherence to applicable securities laws, regulations, and internal policies. The ideal candidate will have experience in regulatory compliance within the investment industry and a strong understanding of National Instrument requirements and regulatory expectations for PMs, EMDs, and IFMs. This role will assist with a variety of regulatory activities both at the company level and for investment vehicles. This individual will be responsible for all regulatory and compliance matters for iCapital’s business in Canada. iCapital operates through several 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 Canadian office is operating within the letter and the spirit of the regulations.

## Responsibilities

- Assist in the development, implementation, communication, maintenance, and monitoring of compliance policies and procedures to ensure adherence to securities regulations (i.e. NI 31-103, NI 81-102, and NI 45-106).
- Foster a culture of compliance across the organization.
- Establish strong working relationships with business partners and other stakeholders.
- Collaborate with various departments within iCapital, to ensure alignment on compliance issues.
- Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance.
- Support the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings.
- Manage the Canada Compliance Calendar and ensure that all due dates and responsible individuals or parties are held accountable.
- Support regulatory audits, inquiries, and inspections by securities regulators, as required.
- Monitor and track regulatory developments and update internal policies accordingly.
- Assist with compliance training and attestations for employees, ensuring ongoing awareness of regulatory requirements and ethical standards.
- Coordinate and organize board meetings, including preparation of packages and minutes.
- Maintain compliance records and support the management of regulatory filings, certifications, and other compliance-related documents.
- Contribute to the implementation and continuous improvement of programs, processes, policies, and tools to meet or exceed regulatory requirements, industry best practices, and achieve organizational goals.
- Support the Canada Legal and Compliance team overall and provide back-up for the other members of the team.

## Qualifications

- 2-5 years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities
- Bilingual in English and French preferred
- Compliance expertise in the private fund and investment management space
- Experience with regulatory filings is a plus
- Excellent analytical skills, attention to detail, and able to interpret regulatory requirements
- Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
- Strong written and verbal communication skills
- Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
- Strong computer skills, including MS Suite (i.e. Word, Excel, and PowerPoint, and DocuSign)

## Benefits

The base salary range for this role is CAD 80,000 to CAD 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.

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/](https://nam02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.icapitalnetwork.com%2Fabout-us%2Frecognition%2F&data=05%7C01%7Ckturlis%40icapitalnetwork.com%7C7f07161790634b9fc3fc08da748bec16%7C0ac51d2823c34b35a9fbe1a17aa9eff1%7C0%7C0%7C637950441561507201%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=HAZm4uhhP8r6HVKnBqOMq5jbXmgOrHlsPCur9U4JRis%3D&reserved=0)

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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