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.