iCapital Network
ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President
$110K–$145K
Greenwich, Connecticut, United States +1 · Director · Full-time · Posted Oct 22, 2026
- Location
- Greenwich, Connecticut, United States
New York, New York, United States - Experience
- 6+ years of compliance experience in the financial services industry.
- Education
- Bachelor’s degree is required.
About the job
Supports compliance programs and regulatory oversight for ETFs, alternative investment fund-of-funds, and 1940 Act registered funds and their related entities.
What you'll do
- Administer fund compliance and governance frameworks, monitor governing-document compliance, and conduct post-trade, portfolio-guideline, and trading oversight.
- Monitor regulatory developments, assess risks, and support compliance testing, reporting, remediation, and regulatory interactions.
- Review fund marketing materials and third-party service providers for compliance with disclosures, governing documents, regulations, and policies.
What they ask for
- Bachelor’s degree.
- 6+ years of financial services compliance experience, including ETFs, derivatives, alternative investments, and applicable regulation.
- Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs.
- Experience supporting regulatory examinations, investigations, or interactions with the SEC, FINRA, or NFA.
Pay
$110,000 to $145,000 (base salary)
Tools
Investment Advisers Act of 1940, Investment Company Act of 1940, Rule 6c‑11, SEC, FINRA, NFA, CFTC
Model-written summary · the original posting is authoritative