Compliance, Associate

As a Compliance Associate at iCapital, you’ll be responsible for developing and implementing compliance policies, ensuring adherence to securities regulations, and fostering a culture of compliance across the company. You'll collaborate with various departments to address compliance concerns while managing regulatory filings and preparing for audits. Essentially, your role will be pivotal in maintaining our compliance standards in the dynamic investment management industry.

The ideal candidate for the Compliance Associate position at iCapital should have at least 3 years of experience in compliance or regulatory roles within the investment management sector. A solid understanding of Canadian securities regulations and excellent analytical skills are crucial. Additionally, strong communication skills and the ability to manage multiple tasks efficiently are necessary to thrive in this fast-paced setting.

iCapital is committed to fostering compliance awareness among all employees. As a Compliance Associate, you'll play a key role in administering compliance training sessions, ensuring employees are knowledgeable about regulatory requirements and ethical standards. This ongoing training fosters a culture of compliance, which is integral to our operations and success.

iCapital offers comprehensive benefits to Compliance Associates, including a competitive salary, bonuses, equity options, and 100% coverage of health insurance premiums for employees and their dependents. You can also expect unlimited paid time off and a flexible work arrangement, contributing to a great work-life balance that is essential in today’s corporate environment.

A Compliance Associate at iCapital is positioned for tremendous professional growth. By working in an innovative environment and engaging with various departments, you'll expand your expertise in regulatory compliance and gain a deeper understanding of the investment management industry. The company’s commitment to employee development also allows you to pursue further training and career advancement opportunities.

To ensure compliance, I continuously monitor and track regulatory developments, integrating updates into our existing compliance policies. Regular training sessions for the team also play a pivotal role in keeping everyone informed about pertinent changes.

Yes, I faced a situation where a regulatory change impacted our reporting structure. I quickly organized a team meeting to develop an action plan, which included revising our reporting procedures and providing training for the team. This proactive approach ensured compliance and maintained operational integrity.

Preparing regulatory reports involves meticulous attention to detail. I gather necessary data from various departments, ensure all information is accurate, and coordinate with stakeholders for timely submissions. Cross-referencing regulations during this process is critical to avoid potential pitfalls.

I utilize a compliance calendar to manage deadlines and prioritize tasks based on due dates and their impact on the organization. Open communication with team members also allows us to address urgent issues promptly while balancing ongoing projects.

Fostering a culture of compliance starts with education and communication. I would conduct regular training sessions, encourage feedback on compliance procedures, and create an environment where employees feel comfortable discussing compliance concerns. Recognition of compliant behavior can further encourage adherence to standards.

One challenge may be navigating the complexities of evolving regulations in a high-growth company. However, I thrive in dynamic environments and view challenges as opportunities to innovate compliance strategies that enhance operational efficiency.

Balancing business objectives with compliance is crucial. I approach conflicts by collaborating with business teams to find solutions that align with regulatory requirements while supporting strategic goals. It’s about finding the sweet spot where compliance and business needs converge.

I have participated in several compliance audits, where I assisted in preparing documentation and coordinating with auditors. My role involved ensuring that all compliance records were organized and that any required changes were promptly addressed to satisfy audit requirements.

I stay updated on industry trends and regulatory changes through professional networks, conferences, and continuous education. Subscribing to relevant publications and joining compliance forums also keeps me in the loop.

I admire iCapital’s commitment to innovation within the investment space and its reputation for excellence in compliance. Joining a forward-thinking company aligns with my passion for ensuring adherence to regulations in an evolving investment landscape while being part of a winning team.