What are the responsibilities and job description for the Regulatory and Compliance, LATAM - Assistant Vice President / Vice President position at iCapital?
About The Role
iCapital is looking for an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team, focusing on Distribution Compliance in Latin America. The candidate will provide compliance advisory and supervisory support for the firm’s distribution of alternative investment products across Latin American markets. This position partners closely with the Distribution, Legal, Product, and Global Compliance teams to ensure distribution, marketing, and investor communications comply with applicable FINRA rules, U.S. securities laws, and jurisdiction-specific and cross border requirements.
Responsibilities
The base salary range for this role is $135,000 to $175,000. 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 | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
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.
iCapital is looking for an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team, focusing on Distribution Compliance in Latin America. The candidate will provide compliance advisory and supervisory support for the firm’s distribution of alternative investment products across Latin American markets. This position partners closely with the Distribution, Legal, Product, and Global Compliance teams to ensure distribution, marketing, and investor communications comply with applicable FINRA rules, U.S. securities laws, and jurisdiction-specific and cross border requirements.
Responsibilities
- Serve as the primary compliance contact to distribution teams covering Latin America.
- Provide guidance on cross border solicitation rules, private placement regimes, and interaction with non-U.S. investors and placement agents in Latin America.
- Coordinate with local counsel to assess regulatory risk, confirm permissible activity, and document jurisdiction specific compliance positions.
- Support compliance with Regulation D and Regulation S offerings marketed to non-U.S. investors, including establishing controls around selling restrictions and disclosure considerations.
- Assist in developing and enhancing written supervisory procedures and governance frameworks related to the distribution of alternative investments.
- Maintain and update policies and procedures based on new regulatory developments and new business initiatives.
- Monitor and assess regulatory developments impacting distribution of alternative investments in Latin America, including regulatory guidance and enforcement trends.
- 7-10 years of experience, preferably with both broker dealer and registered investment advisor experience
- Strong working knowledge of FINRA broker‑dealer rules, SEC regulations, and cross‑border offering frameworks (including Reg D and Reg S)
- Demonstrated experience supporting private placement or alternative investment distribution to non‑S. investors in Latin America
- Able to work effectively across regions and communicate complex jurisdiction‑specific regulatory issues to business stakeholders
- Strong judgment, attention to detail, and a practical, risk‑based approach to compliance
- 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
- Bilingual proficiency (English and Spanish) is preferred
- JD is a plus, but not required
The base salary range for this role is $135,000 to $175,000. 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 | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
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.
Salary : $135,000 - $175,000