AML/KYC Specialist Associate / Assistant Vice President

Job description

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: 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). - 5+ years of alternatives experience, preferably with both broker dealer and registered investment advisor experience - Strong knowledge of the Investment Company Act of 1940,...