Compliance - Associate

About the role

iCapital is looking for a talented Cross Border Fund Distribution Associate, to support its continued international expansion.  iCapital’s rapid growth in the European, Asian and Latam marketplaces creates an opportunity to join a fast-paced, rapid-growth environment.

The Compliance Department holds a pivotal role in bolstering the regulatory and governance operations of our firms and Distribution partners. You will be primarily responsible for researching and advising on country specific rules for marketing and sale of foreign funds to local investors, either from offshore, onshore (through Private Placement) or through reverse solicitation.

The Cross-Border Fund Distribution Associate will be trained by, and closely collaborate with, our Compliance Officers and fellow international team members, other internal teams and external outsourcers, ensuring unwavering adherence to both regulatory mandates and internal protocols.

This person will be based in Lisbon reporting to a Vice President, integrated in a Global Regulatory and Compliance Team of 37 members.

Responsibilities

• Monitor and proactively address the flow of daily requests for advice.


• Assess the info provided and request further details, if needed.


• Navigate and explore standard legal advice tools, for the correct framing and applicable rules.


• Escalate for Senior review and possible external counsel bespoke advice.


• Develop a log of previous advised cases / repeated answers, for reference and consistency, including via recourse to AI tools.


• Assist on the thematic periodic team meetings and Regulations tracker.


• Monitor regulatory updates provided by legal advice tools or external counsel.


• Flexibility to be trained and take other compliance team tasks in time (like monitoring of Gifts and Entertainment, Personal Account Dealing, Outside Business Activities, etc.)

Candidate Profile

• Solid academic background and bachelor’s degree in law. Background in EU and/or International Law is a plus.


• Strong organizational and multitasking skills, ability to prioritize assignments and meet deadlines.


• Around 3-5 years of relevant work experience, even if training is provided when necessary.


• Experience with Cross-border Fund Distribution Regulation and Advisory tools (AOsphere or S+S Navigator) is a plus.


• Detail-oriented and capable of working with confidential information.


• Strong English language, written and spoken, communication skills – proficiency is required.


• Strong knowledge of Microsoft Office.

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; and generous paid time off (PTO).

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