AML/KYC Specialist Associate / Assistant Vice President

About the Role

iCapital is looking for a Compliance Associate/Assistant Vice President candidate to join its Regulatory and Compliance team to lead the review and approval process for investor AML/ KYC with a strong private fund focus. The candidate will be responsible for ensuring compliance with all AML/KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.    

Responsibilities 

• Review of investor/client AML/KYC documentation, client communications, quarterly reporting and ongoing monitoring.


• Perform third party reliance testing and monitoring.


• Collaborate across various business lines on new initiatives, providing compliance guidance 


• AML screening review and dispositions.


• Assist in preparing for and responding to inquiries and audits. 

Qualifications 

• 5+ years of alternatives experience, preferably with both broker dealer and registered investment advisor experience


• Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations


• AML/KYC knowledge of regulatory requirements for private fund investors


• Experience with AML screening resolution vendor tools (LexisNexis, Worldcheck, ComplyAdvantage, etc.)


• Excellent verbal communication skills and strong ability for personal interaction


• Thrives in a fast-paced environment with a continuous learning mindset


• Self-motivated with robust project management and process development skills


• ACAMS certification preferred, but not required


• JD a plus, but not required 

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 4 days a week with the flexibility to work remotely 1 day ( Friday).

Benefits

iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, and equity for all full-time employees; healthcare with 100% employer-paid health and dental insurance.

For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc