iCapital Network
Regulatory and Compliance, ERISA - Senior Vice President
$150K–$200K
Salt Lake City, Utah, United States +2 · Director · Full-time · Posted Sep 11, 2026
- Location
- Salt Lake City, Utah, United States
Greenwich, Connecticut, United States
New York, New York, United States - Experience
- 10+ years of experience in investment adviser, asset management, retirement, ERISA, legal, or compliance functions.
- Education
- Bachelor's degree required; J.D., MBA, or other advanced degree is preferred.
About the job
Leads iCapital’s enterprise-wide ERISA and QPAM compliance program, advising on regulatory obligations, monitoring, products, and transactions.
What you'll do
- Develop and oversee ERISA compliance policies, procedures, controls, reviews, testing, and issue management.
- Manage QPAM monitoring, testing, certifications, eligibility reviews, and compliance documentation.
- Advise business teams on ERISA implications and support regulatory examinations, product launches, and transaction reviews.
What they ask for
- Deep knowledge of ERISA fiduciary standards, prohibited transaction rules, and Department of Labor regulations.
- Experience developing compliance programs, controls, testing frameworks, and governance processes.
- Experience with QPAM compliance programs and prohibited transaction exemptions.
- Familiarity with collective investment trusts (CITs), private funds, alternative investments, and institutional asset management.
Nice to have
- J.D., MBA, or other advanced degree.
Pay
USD $150,000 to $200,000 base salary
Model-written summary · the original posting is authoritative