icapitalnetwork
Regulatory and Compliance, Private Funds Marketing - Associate
At a Glance
- Location
- Salt Lake City, Utah, United States
- Experience
- 5+ years
- Compensation
- salary range for this role is $85,000 to $110,000. iCapital offers a compensat
- Posted
- 2026-04-02T18:27:33-04:00
Key Requirements
Domain Knowledge
- Marketing
- Regulatory
Benefits & Perks
yees also receive a comprehensive benefits package that includes an employer match
Requirements
5+ years of experience, preferably with both broker dealer and registered investment advisor experience
Strong knowledge of the Rule 206(4)-1 of the Investment Advisers Act of 1940and FINRA regulations on marketing
Compensation & Benefits
The base salary range for this role is $85,000 to $110,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and 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
https://www.icapitalnetwork.com/about-us
Twitter: @icapitalnetwork | LinkedIn:
https://www.linkedin.com/company/icapital-network-inc
Responsibilities
iCapital is looking for a Compliance Assistant Vice President to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer.
There will be a strong focus on marketing materials for private funds.
The ideal candidate will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance teams with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.
Review of marketing materials, client communications, diligence reports, research and quarterly reporting, among other materials for SEC and FINRA compliance.
Perform compliance testing and monitoring for marketing related materials.
Collaborate across various business lines on new marketing initiatives, providing compliance guidance.