Join to apply for the Broker Dealer Compliance - Associate role at iCapital Join to apply for the Broker Dealer Compliance - Associate role at iCapital About The Role iCapital is looking for a Compliance Associate candidate to join its Regulatory and Compliance group, focused on broker-dealer compliance. This team member will oversee employee-related compliance matters such as the review and approval of employees outside brokerage accounts, personal trading activities, private investments, and outside business activities. The candidate will also be responsible for generally assisting the Regulatory and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing. About The Role iCapital is looking for a Compliance Associate candidate to join its Regulatory and Compliance group, focused on broker-dealer compliance. This team member will oversee employee-related compliance matters such as the review and approval of employees outside brokerage accounts, personal trading activities, private investments, and outside business activities. The candidate will also be responsible for generally assisting the Regulatory and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing. Responsibilities Collaborate across various business lines on new marketing initiatives, providing compliance guidance Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations Assist in preparing for and responding to inquiries and audits from regulatory authorities Qualifications 2-5 years of experience, preferably with broker dealer experience Strong knowledge of the FINRA rules Excellent verbal communication skills and strong ability for personal interaction Able to thrive in a fast-paced environment with a continuous learning mindset Robust project management and process development skills JD a plus Benefits The base salary range for this role is $ 90,000 to $ 115,000. 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 Twitter: @icapitalnetwork | LinkedIn: | Awards Disclaimer: iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics. Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Finance and Sales Industries Financial Services and IT Services and IT Consulting Referrals increase your chances of interviewing at iCapital by 2x Sign in to set job alerts for “Associate Broker” roles. Jericho, NY $75,000.00-$85,000.00 1 day ago Greenwich, CT $90,000.00-$110,000.00 2 weeks ago Associate Broker - Wholesale Commercial Insurance Huntington, NY $70,000.00-$90,000.00 2 weeks ago Stamford, CT $70,000.00-$70,000.00 5 months ago New York, NY $85,000.00-$125,000.00 3 weeks ago New York, NY $85,000.00-$125,000.00 3 weeks ago Realtor - Elevate Your Real Estate Career with Us! New York, NY $66,000.00-$86,000.00 3 weeks ago New York, NY $95,000.00-$125,000.00 3 weeks ago New York, NY $95,000.00-$125,000.00 3 weeks ago New York, NY $66,000.00-$86,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr iCapital
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