Chief Compliance Officer, ETFs - Senior Vice President Job at iCapital Network (Greenwich)

New

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , New York

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical 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 changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund 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.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)
flexibility to work remotely on Friday

Fulltime

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Compiler Optimization Engineer

The CPU Compiler Team is seeking senior engineers passionate about working on ad...

Location

United Kingdom , London

Salary:

Not provided

Social Value Portal Ltd

Expiration Date

Until further notice

Requirements

Strong C and C++ programming expertise
Solid background in compiler or tools development
BS in Computer Science or equivalent experience

Job Responsibility

Application and benchmark performance analysis
Development of pioneering compiler optimizations in LLVM optimizers and code generators
Tool development
Engage in cross-organization projects with hardware and software teams

Fulltime

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Senior Wealth Administrator

We have an exciting opportunity for a Senior Wealth Administrator to join the We...

Location

United Kingdom , London

Salary:

Not provided

Brewin Dolphin

Expiration Date

March 02, 2026

Requirements

Experience in administration within the discretionary wealth management sector preferred
Intermediate knowledge of Office 365 Suite and Outlook essential
Excellent attention to detail
Proactive individual

Job Responsibility

Communicate with Wealth Managers and their Associates, providing support with administration duties
Preparation and processing of all new client documentation and amendments
Monitor transfers of assets/cash from other institutions
Support ISA subscriptions and transfers
Processing of payments clients
Liaise with colleagues within Business Support regarding administration of client accounts
Ensure client details and reviews are recorded correctly on systems
General record keeping and electronic filing
Adhering to Conduct Risk standards

What we offer

Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team

Fulltime

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Business Development Consultant

Destination Education specialises in education recruitment, connecting high-qual...

Location

United Kingdom , London

Salary:

28000.00 - 35000.00 GBP / Year

Social Value Portal Ltd

Expiration Date

Until further notice

Requirements

Experience in business development (ideally within education or related sectors)
Confident in building and maintaining professional relationships
Can work independently and as part of a team
Proactive, organised and target-driven
Communicate clearly with stakeholders at all levels
Proven track record in sales / business development
Understanding of the education sector
Strong interpersonal and negotiation skills
Excellent written and verbal communication

Job Responsibility

New school acquisition: Identify, approach and secure partnerships with schools and institutions
Relationship management: Work with internal consultants to nurture and maintain strong school relationships
Business growth: Generate new revenue opportunities by understanding market needs and positioning our services
Strategy input: Help shape and implement commercial plans for the desk
Reporting: Track progress, pipeline and outcomes
report to leadership regularly

What we offer

Competitive salary + performance incentives
Reduced Hours outside of term time (School Holidays)
Uncapped Commission structure

Fulltime

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Wealth Paraplanner

RBC Wealth Management Europe provides comprehensive wealth management capabiliti...

Location

United Kingdom , Cambridge

Salary:

Not provided

Brewin Dolphin

Expiration Date

March 02, 2026

Requirements

CII Level 4 Diploma in Regulated Financial Planning or equivalent as a minimum
Previous experience as a Paraplanner
Strong understanding of financial planning principles, tax wrappers, pensions, and investments
Excellent attention to detail
Strong communication skills, with the ability to build relationships with colleagues and clients
Confident using financial planning software
Organised, proactive, and able to manage multiple priorities in a dynamic environment

Job Responsibility

Prepare detailed financial plans, suitability reports, and recommendation documents for Wealth Managers
Support the preparation of client review and new client meetings
Conduct research and analysis across investments, pensions, protection, and tax planning strategies
Review client portfolios, ensuring recommendations align with objectives, risk tolerance, and compliance requirements
Liaise with Wealth Managers, Administrators, and product providers to ensure the smooth delivery of advice and implementation
Maintain accurate client records and support the ongoing development of advice processes

What we offer

Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team

Fulltime

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Commercial Lead - Microsoft Solutions, Public Sector

This is an exciting Commercial Lead opportunity to work with a leading UK-based ...

Location

United Kingdom , Remote

Salary:

70000.00 GBP / Year

Social Value Portal Ltd

Expiration Date

Until further notice

Requirements

Proven consultative sales and account management experience, with a track record of winning new business and growing existing accounts
Public Sector experience desirable
Strong commercial judgment, able to identify opportunities and shape value-led client solutions
Credibility with senior stakeholders, including C-suite engagement and relationship building
Expertise in Microsoft platforms and technology-enabled change, including AI and Microsoft Copilot
Collaborative, working effectively with internal delivery teams to achieve client outcomes
Highly organised, self-directed, and comfortable managing pipeline, forecasts, and account health

Job Responsibility

Drive existing high-value account growth, mainly within Public Sector
Identify and close new business opportunities within target accounts
Drive new business growth and deepen existing client relationships across Microsoft and technology-enabled change solutions
Act as a trusted adviser, leveraging credibility, insight, and a people-centred approach to win new accounts, grow revenue, and deliver long-term client value
Shape opportunities, collaborate with internal delivery teams, and achieve measurable outcomes
Craft compelling client solutions, support the growth strategy, and represent the business credibly at senior stakeholder levels

What we offer

Commission

Fulltime

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Stores Assistant

Ovarro is a company with real purpose. Our RTUs and SCADA have underpinned criti...

Location

United Kingdom , Eckington, Sheffield

Salary:

25500.00 GBP / Year

Ovarro

Expiration Date

Until further notice

Requirements

Experience of working in a manufacturing and international/national export environment within an administrative role is useful but not essential

Job Responsibility

Serve as the primary liaison for all internal and external inquiries related to UK and international despatches, ensuring tracking and communication align with supplier and customer expectations
Ensure products are packed correctly ready for shipping and supporting this process
Prepare and manage all documentation required for outbound shipments, maintaining accuracy and compliance with trade regulations
Collaborate closely with customers to provide timely updates on delivery status, freight tracking, and shipment progress
Coordinate with customs authorities and relevant agencies to facilitate the importation of goods, ensuring proper documentation and clearance procedures are followed

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Senior Analyst, Asset Services (Treasury Control)

We have an exciting opportunity to join our team in Jersey or Edinburgh on a 12-...

Location

United Kingdom , Saint Helier; Edinburgh

Salary:

Not provided

Brewin Dolphin

Expiration Date

March 04, 2026

Requirements

Experience of supporting Operations activity within a high-volume business
A practical understanding of Banking and Treasury Products
Strong analytical and Excel skills
Good understanding of Treasury Control requirements including the risk factors and mitigation
An understanding of the Wealth Management business models

Job Responsibility

Daily calculation and analysis of the banks running cash position throughout the day
Create funding transfers between agent and correspondent bank accounts
Agree daily settlement of FX netting positions and create relevant payment/entry instructions
Daily tick back of the previous days FX input providing the dealers with timely and accurate currency positions and proving the daily Profit analysis
Ensuring collateral is accurately determined, booked and marked to market
Monitor and report on External positions, FX positions, trading and profit for various RBC entities
Calculate brokerage fees, distribution of such and payment initiation
Ensure all High-Quality Liquid Assets (HQLA) and associated Interest Rate Swaps (IRS) are administered and reported promptly and accurately
Maintenance and quarterly audits of all the dealer limits on both Money market and FX books
Prepare fixed deposits, money market deals and FX deals

What we offer

Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team

Fulltime

Chief Compliance Officer, ETFs - Senior Vice President

iCapital Network

Location:
United States , Greenwich

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Additional Information:

Job Posted:
February 18, 2026

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