Regulatory and Compliance, Investor Onboarding and Regulatory Review - Vice President
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Description
About the Role
iCapital is looking for a Investor Onboarding and Regulatory Review VP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation to investments in private and registered funds.
The candidate will be responsible for ensuring completeness and compliance of investor subscription materials with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, and FINRA Rules.…
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