- Job type
- Full-time
- Work mode
- Hybrid
- Level
- Executive
- Department
- Legal and Compliance
- Experience
- 8+ years experience
- Posted
- Aug 25, 2026
About the role
About the Role
iCapital is looking for a Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds. The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.
Responsibilities
- Lead the Subscription Document Review team.
- Manage client engagements and relationships.
- Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
- Create and maintain client and investor reporting tracking investor subscriptions, deadlines, and transaction-related data.
- Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
- Communicate with investment relation teams on ongoing fundraises and investor issues.
- Provide deficiency comments for investor subscription materials.
Qualifications
- 8-15+ years of alternatives experience, preferably with private funds and registered investment advisor experience.
- Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds.
- Experience reviewing governing documents for investors, e.g., limited liability company agreements and trust agreements.
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
- AML/KYC knowledge of regulatory requirements for private fund investors is a plus but not required.
- Excellent verbal communication skills and strong ability for personal interaction.
- Professionalism both client-facing and internally.
- Thrives in a fast-paced environment with a continuous learning mindset.
- Self-motivated with robust project management and process development skills
- JD a plus, but not required