About the job
About the Role
iCapital Network is seeking a highly skilled Chief Compliance Officer for our Exchange-Traded Funds (ETFs) division. This strategic position will involve overseeing compliance for investment advisers supporting our ETF business. The successful candidate will play a pivotal role in the development and execution of compliance programs for our SEC registered ETFs, as well as for our SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, among other compliance-related responsibilities.
Responsibilities
- Maintain in-depth knowledge of SEC regulations pertinent to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c-.
- Monitor and provide guidance on regulatory changes impacting ETFs, including derivatives, valuation, liquidity, and associated rulemaking.
- Design, implement, and uphold compliance programs under Rule 206(4)-7 and Rule 38a-1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
- Offer compliance leadership and support for ETF initiatives, identifying regulatory risks and crafting effective solutions.
- Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
- Lead compliance efforts for ETF launches and product updates from conception through implementation and post-launch activities.
- Translate regulatory requirements and governing documents into scalable policies, procedures, and compliance controls.
- Oversee ETF-specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
- Conduct pre- and post-trade compliance monitoring, portfolio guideline testing, and issue resolution.
- Support trading oversight frameworks, including best execution governance and related compliance practices.
- Execute compliance testing, reporting, and remediation tracking to ensure prompt resolution of compliance issues.
- Coordinate compliance reviews for third-party service providers, including administrators, custodians, legal counsel, and auditors.

