About The Role iCapital is seeking an Assistant Vice President who will play a key role in supporting the Chief Compliance Officer (“CCO”) in managing and enhancing the firm’s compliance program across its IFM, PM, and EMD registrations. This includes ensuring regulatory compliance with applicable securities laws, National Instruments, and policies from the Canadian Securities Administrators (“CSA”) and the Ontario Securities Commission (“OSC”).

Responsibilities

• Assist the CCO with day-to-day compliance operations for the IFM, PM and EMD platforms.
• Monitor compliance with applicable regulatory requirements including NI 31-103, NI 45-106 and other applicable regulations.
• Maintain and enhance the firm’s compliance policies, procedures, and manuals, ensuring they remain current with regulatory changes.
• Foster a culture of compliance across the organization.
• Establish strong working relationships with business partners and other stakeholders.
• Collaborate effectively with various departments, within iCapital, to ensure alignment on compliance issues.
• Coordinate regulatory filings (e.g. OBSI reports, exempt distribution reports, Form 31-103F1, etc.).
• Conduct ongoing compliance testing, monitoring, and internal audits, and report findings with recommendations to management.
• Contribute to oversight of outsourced service providers and sub-advisers, including due diligence and monitoring.
• Review and approve marketing materials, KYC documentation, and investor communications to ensure compliance with securities laws.
• Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance.
• Track regulatory deadlines and support regulatory inquiries, audits, and examinations.
• Monitor and track regulatory developments and update internal policies accordingly.
• Assist with compliance training and attestations for employees, ensuring ongoing awareness of regulatory requirements and ethical standards.
• Coordinate and organize board meetings, including preparation of packages and minutes.
• Support the Canada Legal and Compliance team overall and provide back-up for the other members of the team.

Qualifications

• 6+ 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
• Strong knowledge of Canadian securities regulation and experience
• Compliance expertise in the private fund and investment management space
• Experience with regulatory filings and compliance systems (e.g. NRD, SEDAR+) is an asset
• Able to interpret and apply complex regulations in a practical and risk-based manner
• High level of discretion and attention to detail
• Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
• Strong communication, analytical, organization, and stakeholder management skills
• Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
• Strong computer skills, including MS Suite – Word, Excel, and PowerPoint, DocuSign, etc
• Mother tongue/native-level English communication for collaboration with head office and external, international stakeholders and suppliers

Benefits 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.

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, vision, 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 https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

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.