Regulatory & Compliance - Associate

Benefits

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About this role

Regulatory & Compliance - Associate Toronto, Ontario, Canada About the Role iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team to support our Compliance team in ensuring adherence to applicable securities laws, regulations, and internal policies. The ideal candidate will have experience in regulatory compliance within the investment industry and a strong understanding of National Instrument requirements and regulatory expectations for PMs, EMDs, and IFMs. This role will assist with a variety of regulatory activities both at the company level and for investment vehicles. This individual will be responsible for all regulatory and compliance matters for iCapital's business in Canada. iCapital operates through several different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner with the business teams to ensure that our Canadian office is operating within the letter and the spirit of the regulations. Responsibilities - Assist in the development, implementation, communication, maintenance, and monitoring of compliance policies and procedures to ensure adherence to securities regulations (i.e. NI 31-103, NI 81-103, and NI 45-106). - Foster a culture of compliance across the organization. - Establish strong working relationships with business partners and other stakeholders. - Collaborate with various departments within iCapital, to ensure alignment on compliance issues. - Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance. - Support the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings. - Manage the Canada Compliance Calendar and

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