AML Assistant Vice President (Regulatory and Compliance)

Join iCapital as a Compliance Assistant Vice President in the Regulatory and Compliance team. You will lead the review and approval process for investor AML and KYC, ensuring compliance with all regulatory requirements. Your responsibilities will include reviewing investor and client documentation, performing third-party reliance testing, collaborating on new initiatives, conducting AML screening reviews, and assisting with inquiries and audits. A minimum of 5 years of experience in alternatives, preferably with broker-dealer and registered investment advisor experience, is required.

• Lead the review and approval process for investor AML and KYC, ensuring compliance with regulatory requirements.
• Collaborate across various business lines on new initiatives, providing compliance guidance and support.
• Assist in preparing for and responding to inquiries and audits, ensuring all documentation is accurate and complete.

• ACAMS certification is preferred
• JD is a plus
• 5+ years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
• Self-motivated with robust project management and process development skills
• AML and KYC knowledge of regulatory requirements for private fund investors
• Thrives in a fast-paced environment with a continuous learning mindset
• Excellent verbal communication skills with the ability for personal interaction
• Experience with AML screening resolution vendor tools (i.e. LexisNexis, Worldcheck, ComplyAdvantage)
• Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations