iCapital Network
ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President
$110K–$145K
New York, New York, United States · Director · Full-time · Posted Oct 22, 2026
- Experience
- 6+ years of compliance experience in the financial services industry.
- Education
- Bachelor’s degree 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 compliance testing and remediation tracking.
- Review marketing materials, monitor regulatory developments and risks, and support regulatory examinations and interactions.
- Conduct post-trade monitoring and portfolio guideline testing, support trading oversight, and review third-party service providers.
What they ask for
- Bachelor’s degree.
- 6+ years of financial-services compliance experience, including ETFs, derivatives, alternative investments, and the applicable regulatory landscape.
- Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements.
- Experience supporting regulatory examinations, investigations, or other 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