LatAm Regulatory & Compliance - Assistant Vice President / Vice President

Job description

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: - 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 restrict...