Vice President / Senior Vice President, iCapital
Regulatory & Compliance EMEA
Annual performance bonus + Equity available
4+ days a week in office
Fintech platform for alternative investments
Be an early applicant
Fintech platform for alternative investments
1001+ employees
Be an early applicant
Annual performance bonus + Equity available
4+ days a week in office
1001+ employees
Company mission
To power the world’s alternative investment marketplace.
Role
Who you are
- A regulatory lawyer with 10+ years of experience gained from private practice and/or in-house role in the asset management/investment funds industry
- In-depth knowledge, or experience of dealing with cross border regulatory issues, compliance and risk in the UK and EMEA regions with significant FCA and PRA experience, and good knowledge of relevant UK and EU/EEA rules applicable to the iCapital business including but not limited to FSMA, Regulated Activities Order, AIFMD, MIFIDII and CBDF, PRIIPS, LTAF and ELTIF (experience in Middle East regulations is a plus)
- Interpret comprehensive and complex regulatory obligations to determine risk and mitigation plans while communicating results to stakeholders
- Ability to identify issues in order to effectively instruct external counsel where appropriate
- Strong analytical skills and ability to be proactive and anticipate business needs
- Possess extensive knowledge of regulatory compliance and internal controls for an asset management business
- Adaptable, collaborative and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth firm
- Strong interpersonal and communication skills
- Mother tongue / native-level English communication for internal collaboration with head office international stakeholders, and external parties
What the job involves
- ICapital is seeking a Senior Vice President to join the Global Regulatory and Compliance Team, based in London
- This role will assist with a variety of cross-border regulatory activities both at the firm level and for investment vehicles
- The successful hire will play a key role in supporting iCapital’s UK business by handling and supervising regulatory and compliance matters (working alongside our in-house Legal and Compliance professionals in London)
- The candidate will be responsible for interpreting and analysing laws and regulations applicable to the UK business and activities, as well as across the EU
- The successful candidate will partner with the business and various internal teams to ensure that our UK and EU offices are operating within the letter and the spirit of the regulations
- Work closely with and provide advice to the Senior Management team in a complex and evolving regulatory environment. You will need to develop and maintain a strong partnership with Senior Management to work together on the firm’s growth strategy within the UK and EU, anticipating business needs and proactively engaging in business decisions to ensure we operate within the rules and regulations
- Liaise with colleagues, regulators, external partners and stakeholders to anticipate regulatory risks to the firm and its clients
- Work closely with the Legal team to provide guidance on interpretation of regulations to enable the team to understand the parameters of scope of permitted activities when drafting commercial contracts
- Act as “UK Regulatory and Legal Knowledge Center” within the firm and trusted advisor to Senior Management, providing guidance on regulatory topics as needed
- Lead in the development of a compliance strategy and guidelines to support iCapital’s growth across UK and EU/EEA in a sustainable and compliant way, as well as support in growth in Middle East region
- Act as the main point of contact with regulatory bodies, as appropriate, to represent iCapital, as well as engage with relevant stakeholders to manage inspections and audits. Work closely with the regional Compliance teams in the EU who are responsible for drafting and implementing policies and procedures, and monitoring compliance
Salary benchmarks
Our take
Alternative investing can yield huge profits, but it can often be inaccessible, even to enterprises. iCapital solves this problem by guiding large-scale businesses through the alternative investing process.
Since launching in 2013, iCapital has provided enterprises with an investing marketplace. Its focus has been on banking, wealth management, and asset management companies, and iCapital now serves clients such as JP Morgan, Evercore, and Rockefeller. As of February 2023, the company services over $153 billion in global client assets, clear evidence of industry confidence in the company.
iCapital's impact on the financial world is undeniable, forging strong and profitable partnerships with leading institutions like Morgan Stanley. With a proven track record and a rapidly growing platform, iCapital is poised for significant further expansion in the years to come.
Steph
Company Specialist
Insights
Some candidates hear
back within 2 weeks
42% employee growth in 12 months
Company
Funding (last 2 of 8 rounds)
Dec 2021
$50m
LATE VC
Jul 2021
$440m
GROWTH EQUITY VC
Total funding: $680.6m
Company HQ
Murray Hill, New York, NY
Articles
Leadership
Lawrence Calcano
(CEO)Previously worked as Director of Capitol Acquisition Corp., and served as Director of Vibrant Emotional Health for 10 years.
Diversity, Equity & Inclusion at iCapital
- We consider applicants of all backgrounds. If you are excited about what we’re building but don't meet some of the criteria above, please don’t let that discourage you from applying
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