iCapital Network
Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President
$125K–$155K
Salt Lake City, Utah, United States +2 · Director · Full-time · Posted Aug 25, 2026
- Location
- Salt Lake City, Utah, United States
Greenwich, Connecticut, United States
New York, New York, United States - Experience
- 8-15+ years of alternatives experience.
About the job
Leads investor subscription-document review for private and registered fund investments, ensuring materials are complete and compliant with applicable securities laws and FINRA rules.
What you'll do
- Lead the Subscription Document Review team and manage client engagements and relationships.
- Review and maintain subscription materials; track investor subscriptions, deadlines, and transaction data in client and investor reporting.
- Maintain engagement rules, communicate with investor relations teams, and provide deficiency comments on subscription materials.
What they ask for
- Experience in fund structuring and formation, including reviewing governing documents for alternative and registered funds and investors.
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
- Strong verbal communication, client-facing professionalism, project management, and process-development skills.
Nice to have
- Private fund and registered investment adviser experience.
- AML/KYC knowledge of regulatory requirements for private fund investors; JD.
Pay
$125,000 to $155,000 USD base salary
Tools
Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Exchange Act of 1934, FINRA Rules
Model-written summary · the original posting is authoritative