Compliance Officer

1 week ago

Toronto, Ontario, Canada iCapital Network Full time

iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $180 billion in global client assets invested in 1,441 funds, as of February 2024.

iCapital has been named to the Forbes Fintech 50 for seven consecutive years ; a three-time selection by Forbes to its list of Best Startup Employers ; and a three-time winner of MMI/Barron's Solutions Provider award (See link below).

About the Role

iCapital is seeking a Compliance Officer to join the Global Regulatory and Compliance team. This role will assist with a variety of regulatory activities both at the company level and for investment vehicles. This individual will be responsible for all regulatory and compliance matters for iCapital's business in Canada. iCapital operates through several different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner with the business teams to ensure that our Canadian office is operating within the letter and the spirit of the regulations.

Responsibilities
  • Define compliance strategy and guidelines to support the company's growth across Canada in a sustainable and compliant way.
  • Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them.
  • Develop and implement appropriate policies and procedures as well as internal controls, and test and monitor in the context of the business model to ensure that iCapital meets its regulatory obligations in Canada.
  • Act as the "Compliance Knowledge Center" within the company and trusted advisor to Senior Management, providing guidance and training on compliance topics if needed.
Qualifications
  • 5+ years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities
  • Compliance expertise in the private fund and investment management space
  • In-depth knowledge of Canadian securities laws rules, including registrant and investment fund regulation, and other regulatory frameworks relevant to the investment management industry
  • Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
  • Mother tongue/native-level English communication for collaboration with head office and external, international stakeholders and suppliers

iCapital offers a comprehensive benefits package that includes a competitive total compensation package consisting of salary, bonus, and equity for all full-time employees. The Company pays 100% of the premium for all Group Benefits for you and your dependents. Some of these benefits include medical, dental, vison, prescription, life insurance and long term disability. We offer a variety of Retirement Plans so of which have a company match. We offer unlimited Paid Time Off (PTO) and most employees the flexibility to work in the office three to four days and remotely for the remainder of the week. Every department has different needs, and some positions will be designated in-office jobs, based on their function. For additional information on iCapital, please visit Twitter: @icapitalnetwork | LinkedIn: Awards Disclaimer:

iCapital is proud to support a fair and inclusive workplace, in which all applicants have an opportunity to fulfill their potential and every person has the right to equal treatment with respect to employment without discrimination. iCapital does not tolerate any discrimination contrary to the Ontario Human Rights Code, including on the grounds of race, ancestry, place of origin, colour, ethnic origin, citizenship, creed, sex, sexual orientation, gender identity, gender expression, age, record of offences, marital status, family status or disability.

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