iCapital Network
ETF and 1940 Act Registered Funds Compliance Officer - Vice President
$150K–$180K
Greenwich, Connecticut, United States +1 · Director · Full-time · Posted Oct 21, 2026
- Location
- Greenwich, Connecticut, United States
New York, New York, United States - Experience
- 10+ years of compliance experience in the financial services industry.
- Education
- Bachelor’s degree required; Law Degree or MBA preferred.
About the job
Oversees compliance programs and regulatory obligations for ETFs, 1940 Act Registered Funds, and related investment advisers and fund entities.
What you'll do
- Oversee fund compliance and governance, including monitoring governing documents, disclosures, filings, and product-specific obligations.
- Advise stakeholders on regulatory developments, product structuring, operations, investment strategies, and disclosures; review fund marketing materials.
- Develop compliance policies and controls, conduct testing and post-trade monitoring, track remediation, and coordinate third-party service provider reviews.
What they ask for
- Bachelor’s degree.
- 10+ years of financial services compliance experience, including experience with ETFs, derivatives, alternatives, and the regulatory landscape.
- Knowledge of U.S. securities laws and investment company, investment adviser, and NFA or CFTC compliance programs.
- Experience with Rule 38a-1 and Rule 206(4)-7; 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
Tools
Investment Advisers Act of 1940, Investment Company Act of 1940, Rule 6c‑11, Rule 38a-1, Rule 206(4)-7, Securities Act of 1933, Securities Exchange Act of 1934
Model-written summary · the original posting is authoritative