Regulatory Compliance Associate - iCapital

Advance your career with iCapital as a Regulatory Compliance Associate focusing on securities regulations compliance in Canada. This role is integral to maintaining high compliance standards within our investment operations.

The ideal candidate will possess 2-5 years of experience in regulatory compliance within the investment sector, particularly with portfolio managers and exempt market dealers.

Your role will involve working closely with various teams to ensure compliance with National Instruments and enhance organizational compliance practices. This position requires strong analytical skills and proactive engagement with both internal and external stakeholders.

Key Responsibilities:

• Develop and implement compliance policies in line with regulations

• Monitor and track regulatory changes to update practices

• Prepare and file compliance reports as required

• Conduct compliance training for staff

• Manage compliance record-keeping and documentation

Requirements:

• 2-5 years experience in regulatory compliance

• Bilingual in English and French preferred

• Strong analytical and interpretative skills

• Ability to work independently and as part of a team

• Proficiency with Microsoft Office tools

Support iCapital’s regulatory compliance initiatives while enhancing your professional journey in a dynamic environment.
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