iCapital Network
Regulatory and Compliance, Subscription Document Review - Associate
$90K–$115K
New York, New York, United States · Full-time · Posted Sep 15, 2026
- Experience
- 1–3 years of alternatives experience; private funds and registered investment advisor experience preferred.
About the job
Reviews investor subscription materials for private and registered fund investments to ensure completeness and regulatory compliance.
What you'll do
- Review, track, and maintain subscription booklets, indexes, and related investor materials; draft deficiency comments.
- Create and maintain Excel spreadsheets and reports tracking subscriptions, deadlines, and transaction data.
- Update sponsor and law-firm rules of engagement and communicate with investment relations teams about fundraises and investor issues.
What they ask for
- Experience in fund structuring and formation, including reviewing governing documents for alternative and registered funds.
- Experience reviewing investor governing documents, such as limited liability company agreements and trust agreements.
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
- Strong verbal communication and interpersonal skills, professionalism, and project management and process development skills.
Nice to have
- AML and KYC knowledge of regulatory requirements for private fund investors.
- JD.
Pay
$ 90,000 to $ 115,000 (base salary)
Tools
Excel, 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