Six Figure Work

ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President

iCapital

Company websiteicapital.com (iCapital, opens in new tab)

Base salary $110K  to $145K

Employer-published annual base salary, USD. Advertised base range in New York, NY

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  • LocationNew York, NY
  • WorkplaceWorkplace not stated
  • Status at last checkSource accepting applications when checked
  • Last checked (3 h ago) · observed since

About this job

About the Role

iCapital is looking to hire a Compliance Officer to support the relevant investment advisers serving the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This individual will assist with the implementation and administration of compliance programs for the firm’s SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities involving these products or entities. 

Responsibilities

  • Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c‑11.
  • Support the administration of the funds’ compliance and governance framework. 
  • Assist in monitoring compliance with fund governing documents.
  • Monitor regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking, and assist in assessing their impact. 
  • Support ETF and Registered Funds initiatives by identifying regulatory risks, escalating issues, and helping develop practical solutions. 
  • Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders. 
  • Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution. 
  • Support trading oversight frameworks, including best execution governance and related compliance practices. 
  • Perform compliance testing, reporting, and remediation tracking to support timely resolution of issues.  
  • Assist with compliance reviews of third-party service providers, including administrators, custodians, legal counsel, and auditors.

Qualifications

  • Bachelor’s degree is required
  • 6+ years of compliance experience in the financial services industry, including experience with exchange-traded funds, derivatives, alternative investments, and the applicable regulatory landscape 
  • Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements 
  • Experience supporting regulatory examinations, investigations, or other interactions with the SEC, FINRA, or NFA 
  • Experience evaluating risk and mapping risks and controls across business practices 
  • Able to collaborate with and provide guidance to colleagues across functions and levels
  • Able to operate effectively in a fast-paced environment
  • Detail-oriented, with the ability to assess and prioritize multiple projects 

Benefits

The base salary range for this role is $110,000 to $145,000. 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 X: @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.

Source: iCapital on Greenhouse · View original posting (opens in new tab)

Pay in context

This role's base floor ($110,000) is above 8% of the 322 Legal roles in New York listed on this site; 4 others list the same floor. Their median floor is $180,000; the middle half runs from $140,000 to $226,875.

Only jobs on this site count, and each one publishes a base salary of $100,000 or more, so this compares six-figure jobs with each other, not with the whole market. Computed Nov 8, 2026.

This range next to 6 other live iCapital roles with the nearest advertised base floor
Chart as a table
This range next to 6 other live iCapital roles with the nearest advertised base floor
RolePublished base
ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President (this listing)$110K - $145K
Senior Software Integration Engineer - Assistant Vice President$110K - $130K
Corporate Finance, Equity - Assistant Vice President$110K - $140K
Strategic Planning and Business Management - Assistant Vice President$110K - $145K
Senior Software Integration Engineer - Assistant Vice President$110K - $130K
Feeder Fund Vendor Management - Assistant Vice President$110K - $145K
ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President$110K - $145K

Same $100K to $400K scale as every card. All iCapital roles · How to read the bar

Observed changes

  1. Began meeting the published-salary criteria
  2. First observed on the employer's board
Observed since
Employer-stated posting date
2026-10-22
Where this pay comes from

Location as the employer wrote it: New York, New York, United States

The base salary range for this role is $110,000 to $145,000. iCapital offers a compensation package which includes sala

Method
Employer text, read with fixed rules and re-verified
Checked
Rule set
us-base-v2

The pay passage appears in the employer's own job text. Fixed, deterministic rules located it, and the passage below was checked against the stored copy of the posting.

What we verified

  • The pay figures come from the employer's own listing, quoted exactly above.
  • The pay is an annual base salary in US dollars with a minimum of at least $100,000.
  • The role was publicly listed on the employer's job board when last checked.

We do not verify what the employer will actually offer, whether the employer is still recruiting for the role, or anything beyond what the employer published. Full methodology.

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