Overview
In this role you will support the UK and EMEA regulatory, compliance, governance, and risk activities within iCapital. You will collaborate with senior team members to enhance the compliance framework, advise on regulatory obligations, and ensure offices operate in line with rules and intent. You will gain exposure to multiple regulatory regimes, private markets, and international compliance matters in a fast-growing global organization. You will help shape governance, compliance processes, and risk management across the business.
Responsibilities
- Develop and enhance the UK/EMEA Compliance Framework, including policies, procedures, and regulatory inventories
- Monitor regulatory developments and advise stakeholders on UK, European, and Middle East requirements, including cross-border distribution
- Provide guidance and reviews of financial promotions, distribution activities, conflicts of interest, AML/CFT, staff compliance, and other regulatory matters
- Conduct risk-based assessments, compliance monitoring and testing, and support remediation of issues
- Oversee compliance training and maintain training records
- Support regulatory reporting and governance duties, including FCA filings and board meetings
- Maintain corporate governance records, regulatory registers, board documentation, and assist with regulatory inquiries and audits
- Assist with financial crime and employee compliance programs (AML/CFT, sanctions, third-party onboarding, attestations, investigations)
- Improve compliance processes and controls, including appropriate use of AI and technology
- Collaborate with senior management, regulators, and stakeholders to identify and mitigate regulatory and compliance risks
Key requirements
- 6-10 years in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting in financial services
- Strong understanding of FCA requirements (SMCR, Conduct of Business Rules, financial promotions, AML/CFT, governance)
- Experience in regulatory reporting, promotions reviews, monitoring, risk assessment, and advisory activities
- Familiarity with UK/European regulatory requirements for regulated financial services, including cross-border distribution
- Collaborative, proactive, adaptable team player with ability to manage competing priorities
- Understanding of financial crime (AML, sanctions, KYC)
- Experience developing or supporting compliance training and monitoring programs
- Excellent written/verbal communication, analytical and organizational skills
- Knowledge of private markets, investment funds, wealth management, or fund distribution is advantageous
- Advanced Microsoft Office; experience with compliance tech platforms and workflow systems is advantageous
- Collaborative
- Proactive
- Adaptable
- AML/CFT
- Sanctions
- KYC
Regulatory & Compliance (UK & EMEA) - Vice President in London employer: iCapital Network
iCapital is an exceptional employer, offering a unique opportunity for the Vice President of Go-to-Market Europe to lead a pioneering business line in a dynamic and supportive environment. With a strong emphasis on employee growth, a collaborative work culture, and the chance to leverage established relationships across the UK and Europe, this role promises not only competitive compensation but also the ability to make a significant impact in the private markets sector. The flexibility of remote work on Fridays further enhances the work-life balance, making iCapital a truly attractive place to build a rewarding career.
