About the job
About the Role
iCapital Network is seeking a dynamic candidate for the position of Assistant Vice President or Vice President within our Regulatory and Compliance team. This influential role focuses on Distribution Compliance across Latin America. The successful candidate will deliver compliance advisory and supervisory support for the firm’s distribution of alternative investment products in Latin American markets. You will collaborate closely with Distribution, Legal, Product, and Global Compliance teams to ensure that all distribution, marketing, and investor communications adhere to applicable FINRA rules, U. S. securities laws, and jurisdiction-specific and cross-border regulations.
Key Responsibilities
- Act as the primary compliance liaison for distribution teams operating in Latin America.
- Provide expert guidance on cross-border solicitation rules, private placement regimes, and engagement with non-U. S. investors and placement agents in the region.
- Work with local legal counsel to evaluate regulatory risks, validate permissible activities, and document compliance positions pertinent to specific jurisdictions.
- Support compliance efforts related to Regulation D and Regulation S offerings directed at non-U. S. investors, including the establishment of controls around selling restrictions and necessary disclosures.
- Contribute to the development and enhancement of written supervisory procedures and governance frameworks governing the distribution of alternative investments.
- Regularly update and maintain policies and procedures in response to new regulatory developments and evolving business initiatives.
- Monitor and analyze regulatory changes affecting alternative investment distribution in Latin America, including emerging guidance and enforcement trends.
