Regulatory and Compliance, AML - Assistant Vice President
Listed on 2026-09-21
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
About the Role
iCapital is looking to hire a Compliance Assistant Vice President to join its Regulatory and Compliance team to lead the review and approval process for investor AML and KYC with a strong private fund focus. This role will be responsible for ensuring compliance with all AML and KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.
Responsibilities- Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring.
- Perform third party reliance testing and monitoring.
- Collaborate across various business lines on new initiatives, providing compliance guidance.
- Conduct AML screening review and dispositions.
- Assist in preparing for and responding to inquiries and audits.
- 5+ years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
- Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
- AML and KYC knowledge of regulatory requirements for private fund investors
- Experience with AML screening resolution vendor tools (i.e. Lexis Nexis, World check, Comply Advantage)
- Excellent verbal communication skills with the ability for personal interaction
- Thrives in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- ACAMS certification is preferred
- JD is a plus
- The base salary range for this role is $110,000 to $145,000.
- iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus.
- an employer matched retirement plan
- generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
- parental leave
- unlimited paid time off (PTO)
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit Twitter: @icapitalnetwork | Linked In: | Awards Disclaimer:
iCapital is proud to be an Equal Employment Opportunity and Aff…
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