About this role
Regulatory & Compliance - Assistant Vice President at iCapital. Location: Salt Lake City, Utah, United States. Role: reviewing materials, performing testing, updating policies Requirements: Bachelor's degree, 5+ years' experience (broker-dealer and RIA experience preferred), Rule 206(4)-1 and FINRA marketing knowledge, private funds experience, strong communication and project management; JD is a plus. Category: Legal and Compliance Seniority: Senior Level Commitment: Full Time Workplace: Hybrid Languages: English