Regulatory & Compliance

About the Role

iCapital is seeking a Vice President, Regulatory & Compliance to join its International Regulatory & Compliance Team, based in London. This role will support a broad range of regulatory, compliance, corporate governance, and risk management activities across the firm's UK and EMEA operations.

The successful candidate will work closely with senior members of the International Regulatory & Compliance Team to help maintain and enhance the firm's compliance framework, support regulatory obligations, and partner with the business teams to ensure that our UK & EMEA offices are operating within the letter and the spirit of the regulations.

This role offers an excellent opportunity to gain exposure to multiple regulatory regimes, private markets distribution, corporate governance, and international compliance matters within a fast-growing global organization.

Responsibilities

• Support the development and enhancement of the UK and EMEA Compliance Framework, including overseeing compliance policies, procedures, and regulatory inventories.
• Monitor regulatory developments and advise business stakeholders on applicable UK, European, and Middle East regulatory requirements, including cross border distribution.
• Provide compliance guidance and reviews of financial promotions, distribution activities, conflicts of interest, AML/CFT, staff compliance, and other regulatory matters.
• Develop and undertake risk-based assessments, compliance monitoring and testing, and support the deployment and remediation of identified issues.
• Oversee and deliver compliance training and maintain appropriate training records.
• Support regulatory reporting and governance obligations, including FCA filings and attending board meetings.
• Maintain corporate governance records, regulatory registers and filings, board documentation, and support responses to regulatory enquiries, audits, and examinations.
• Assist with financial crime and employee compliance programmes, including third party onboarding, AML/CFT, sanctions, personal account dealing, gifts and entertainment, outside business interests, annual attestations, investigations, incidents, breaches, and regulatory recordkeeping.
• Improve compliance processes and controls, including through the responsible use of AI and other technology.
• Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients.

Qualifications

• 6-10 years of experience in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting within financial services.
• Strong understanding of FCA regulatory requirements applicable to licensed firms, including SMCR, Conduct of Business Rules, financial promotions, AML/CFT, and governance obligations.
• Experience supporting regulatory reporting, financial promotion reviews, compliance monitoring, risk assessment and compliance advisory activities.
• Familiarity with UK and European regulatory requirements applicable to regulated financial services firms, including cross-border distribution considerations.
• Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment.
• Understanding of financial crime requirements, including AML, sanctions, and KYC obligations.
• Experience developing or supporting compliance training and monitoring programmes.
• Excellent written and verbal communication, analytical, and organizational skills.
• Knowledge of private markets, investment funds, wealth management, or fund distribution would be advantageous.
• Advanced Microsoft Office skills; experience with compliance technology platforms and workflow management systems is advantageous.

The role reports to the International Regulatory & Compliance leadership team and works closely with colleagues across Legal, Risk, Client Solutions, Product, Operations, Finance and Corporate Governance functions. The role will require the candidate to hold FCA approval to carry out the SMF17 Money Laundering Reporting Officer (MLRO) Senior Management Function.

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  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/