ETF & 1940 Act Funds Compliance Lead
Job in
Greenwich, Fairfield County, Connecticut, 06831, USA
Listed on 2026-07-31
Listing for:
Intelligentsia Capital
Full Time
position Listed on 2026-07-31
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
iCapital is seeking a Compliance Officer to oversee ETF and 40 Act funds compliance for investment advisers, with responsibility for implementing and administering compliance programs under SEC, NFA, and CFTC frameworks. The role includes leading risk assessments and regulatory filings, and advising product and operations teams on disclosures and controls.
The position requires 10+ years of financial services compliance experience, deep knowledge of ETFs, derivatives, and the regulatory
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