iCapital Network
Regulatory and Compliance, ERISA - Senior Vice President
$190K–$230K
New York, New York, United States +2 · Director · Full-time · Posted Sep 11, 2026
- Location
- New York, New York, United States
Greenwich, Connecticut, United States
Salt Lake City, Utah, United States - Experience
- 10+ years in investment adviser, asset management, retirement, ERISA, legal, or compliance functions.
- Education
- Bachelor's degree required; J.D., MBA, or other advanced degree preferred.
About the job
Leads iCapital’s enterprise-wide ERISA and QPAM compliance program across its investment advisers, funds, retirement products, and plan clients.
What you'll do
- Develop and maintain ERISA compliance policies, controls, monitoring, testing, and training in partnership with the Registered Funds CCO and other teams.
- Advise business stakeholders on ERISA fiduciary obligations, prohibited transactions, exemptions, and product or transaction implications.
- Oversee QPAM compliance, including eligibility reviews, certifications, testing, documentation, and transaction reviews.
What they ask for
- Bachelor's degree.
- 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.
Nice to have
- J.D., MBA, or other advanced degree.
- Familiarity with collective investment trusts (CITs), private funds, alternative investments, and institutional asset management.
Pay
USD 190,000 to USD 230,000 base salary
Model-written summary · the original posting is authoritative