About the job
About the Role
Join iCapital Network as an Assistant Vice President or Vice President in our Regulatory and Compliance team. This pivotal role centers on Distribution Compliance within Latin America, where you will deliver expert compliance advisory and supervisory support for our alternative investment products in these dynamic markets. You will collaborate closely with Distribution, Legal, Product, and Global Compliance teams to ensure our distribution, marketing, and investor communications adhere to relevant FINRA rules, U. S. securities laws, and jurisdiction-specific as well as cross-border requirements.
Key Responsibilities
- Act as the primary compliance liaison for distribution teams operating in Latin America.
- Offer expertise on cross-border solicitation rules, private placement regulations, and engagement with non-U. S. investors and placement agents in the region.
- Work with local legal counsel to evaluate regulatory risks, verify permissible activities, and document compliance positions specific to each jurisdiction.
- Ensure adherence to Regulation D and Regulation S offerings aimed at non-U. S. investors, including implementing controls around selling restrictions and disclosure considerations.
- Contribute to the development and refinement of written supervisory procedures and governance frameworks related to alternative investment distribution.
- Keep policies and procedures current in light of new regulatory changes and business initiatives.
- Monitor and analyze regulatory developments that could impact alternative investment distribution in Latin America, including guidance and enforcement trends.
