iCapital Network
ETF and 1940 Act Registered Funds Compliance Officer - Vice President
$150K–$180K
New York, New York, United States · Director · Full-time · Posted Oct 21, 2026
- Experience
- 10+ years of compliance experience in the financial services industry.
- Education
- Bachelor’s degree required; Law Degree or MBA preferred.
About the job
Oversee compliance programs and governance for ETFs, alternative investment funds-of-funds, and 1940 Act registered funds, advising on regulatory risks, operations, disclosures, monitoring, and controls.
What you'll do
- Administer fund compliance and governance frameworks, monitor governing-document compliance, and oversee product-specific disclosures and regulatory filings.
- Advise internal stakeholders on product structure, operations, investment strategies, regulatory developments, and marketing materials.
- Conduct compliance testing and post-trade monitoring, track remediation, and coordinate reviews of third-party service providers.
What they ask for
- 10+ years of financial-services compliance experience, including experience with ETFs, derivatives, alternatives, and their regulatory landscape.
- Knowledge of U.S. securities laws and SEC, CFTC, NFA, and FINRA regulations.
- Experience with investment company, investment adviser, and NFA or CFTC compliance programs, including Rules 38a-1 and 206(4)-7.
- Experience with regulatory examinations, investigations, or interactions with the SEC, FINRA, and NFA.
Nice to have
- Law Degree or MBA.
- FINRA Series 7 and 24 licenses.
Pay
USD $150,000 to $180,000 base salary
Model-written summary · the original posting is authoritative