ApplySarthiCompliance Officer, ERISA / CIT Business - Assistant Vice President
iCapital
Tailor my CV for this job, freeView job and applyYour CV rewritten for this role, from your real experience. Sign in with Google, nothing to install.
Got this interview? Our apps help you get the job.
This role on the market
1,378 open compliance roles across 263 companies are on ApplySarthi right now, most of them in Bengaluru (107), Hyderabad (34), Pune (26).
- Compliance Analyst, Safety, NASTAmazon
- Student Intern - ComplianceNokia
- Lead Compliance AnalystJobgether
- Senior Analyst - Compliance AnalyticsNium · mumbai
- Compliance, International Investigations AssociateCoinbase
What compliance roles keep asking for: Stakeholder management (18%), Excel (14%) — counted across their open postings here.
iCapital has 226 open roles listed here.
- Full Stack Engineer - Vice President
- Compliance Officer, ERISA / CIT Business - Assistant Vice President
- Compliance Officer, ERISA / CIT Business - Assistant Vice President
- Compliance Officer, IAS / Registered Funds - Assistant Vice President
- Compliance Officer, Registered Funds - Assistant Vice President
Counted across 14 company job boards, updated as roles open and close.
Preparing for this interview
Interviews for compliance roles keep coming back to Stakeholder management, Excel. Practise those questions before you sit with iCapital.
Questions you are likely to be asked
- Why do you want to join iCapital?
- Tell me about yourself, and why this role is the right next step.
- Tell me about a problem you solved at work that you are proud of.
- Tell me about a time you disagreed with your manager. What happened?
- Where do you want to be in three years?
Prep Sarthi gives you a free mock interview: an AI interviewer asks you questions like these out loud, from your own CV and this job, and shows your score and your weakest answer.
Practise the Compliance Officer, ERISA / CIT Business - Assistant Vice President at iCapital interview free →About the Role
iCapital is seeking an ERISA Compliance Assistant Vice President to support its compliance program relating to the Employee Retirement Income Security Act of 1974 (ERISA), Department of Labor regulations, prohibited transaction exemptions, and Qualified Professional Asset Manager (QPAM) requirements. This role will support ERISA-related regulatory obligations affecting iCapital's registered investment advisers, collective investment trusts, retirement-focused investment products, and retirement-plan clients. The ideal candidate has hands-on ERISA or retirement compliance experience and can independently manage defined compliance workstreams while partnering effectively with Legal, Product, Fund Finance, Investment Management, Distribution, and senior Compliance personnel.
Responsibilities
- Support the development, maintenance, and enhancement of ERISA compliance policies, procedures, controls, and monitoring programs in coordination with senior Compliance personnel and the Registered Funds CCO.
- Provide practical guidance regarding ERISA fiduciary duties, plan-asset rules, prohibited transactions, party-in-interest restrictions, and applicable exemptions.
- Support the firm’s ongoing compliance with the QPAM Exemption and related prohibited transaction exemption requirements.
- Administer QPAM monitoring and testing, including annual and periodic certifications.
- Coordinate reviews of QPAM eligibility criteria, including assets under management, shareholder equity, affiliate requirements, guarantees, and integrity standards.
- Maintain documentation evidencing compliance with QPAM conditions and regulatory requirements.
- Assess ERISA implications of investment products, distribution activities, service arrangements, transactions, and operational processes.
- Execute risk-based compliance reviews, monitoring, testing, certifications, and issue-management processes relating to ERISA and retirement-plan activities.
- Monitor developments from the Department of Labor, IRS, SEC, and other regulatory authorities and help implement required policy, control, and business changes.
Qualifications
- Bachelor's degree is required; J.D., MBA, or other advanced degree is a plus
- 5–8+ years of relevant experience in investment adviser, asset management, retirement, ERISA, legal, regulatory, or compliance functions
- Strong working knowledge of ERISA fiduciary standards, plan-asset rules, prohibited transaction requirements, and Department of Labor regulations
- Experience with QPAM compliance, prohibited transaction exemptions, or retirement-focused investment products is preferred
- Familiar with collective investment trusts, private funds, alternative investments, or institutional asset management is preferred
- Experience executing compliance monitoring, testing, certifications, issue management, or regulatory examination support
- Strong analytical, organizational, written, and verbal communication skills
- Able to independently manage assigned responsibilities, exercise sound judgment, and escalate significant issues appropriately
- Able to translate complex regulatory requirements into practical business guidance and effective compliance controls
Benefits
The base salary range for this role is $90,000 to $115,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Match this job to your CV
ApplySarthi scores your CV against this role, shows the skills you are missing, and writes a tailored version for the application.
Check my match →Similar open roles
- Agentic AI Engineer - Assistant Vice President / Vice President iCapital · jaipur
- Alternative Distribution Relationship Manager, Texas and Oklahoma - Vice PresidentiCapital
- Lead Python Developer iCapital · jaipur
- Python Developer iCapital · jaipur
- AI Engineer - Vice PresidentiCapital
- Client Delivery - Assistant Vice PresidentiCapital
- Alternative Distribution Sales Desk Manager - Vice President / Senior Vice PresidentiCapital
- Alternative Investment Operations - Associate iCapital
Need answers during your interview? Try Live Sarthi.
Live Sarthi, an Interview Sarthi app, shows answer suggestions during the call.
- Hidden from supported screen sharingThe overlay stays out of supported Windows screen captures.
- Answers start in about 1.5 secondsResponse time varies with your connection and model.
- From your own CVYour projects and your experience, not a generic script.
- 30 minutes freeThen ₹149 for a 2-day pass with unlimited calls — you pay for the days you are interviewing, not a subscription.
A Windows app, from the same team as ApplySarthi.
Listed on greenhouse · posted 2026-11-11. ApplySarthi collects openings and links to application pages; the role is advertised by iCapital, not by us.