iCapital Network
Regulatory and Compliance, ERISA - Senior Vice President
$190K–$230K
Greenwich, Connecticut, United States +2 · Director · Full-time · Posted Sep 11, 2026
- Location
- Greenwich, Connecticut, United States
New York, New York, United States
Salt Lake City, Utah, 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 preferred
About the job
Leads iCapital’s enterprise-wide ERISA and QPAM compliance program, advising on regulatory obligations, testing, transactions, examinations, and product launches.
What you'll do
- Develop and maintain ERISA compliance policies, controls, monitoring, testing, and governance programs.
- Oversee QPAM compliance, including eligibility reviews, certifications, and documentation.
- Advise business teams on ERISA matters and support regulatory examinations, transactions, and new product launches.
What they ask for
- Deep knowledge of ERISA fiduciary standards, prohibited transaction rules, and Department of Labor regulations.
- Familiarity with collective investment trusts (CITs), private funds, alternative investments, and institutional asset management.
- 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
Pay
$190,000 to $230,000 USD base salary
Model-written summary · the original posting is authoritative