Support the compliance program relating to ERISA, Department of Labor regulations, prohibited transaction exemptions, and QPAM requirements for registered investment advisers and retirement-plan clients.
The base salary range for this role is $110,000 to $145,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus.
- Support the development, maintenance, and enhancement of ERISA compliance policies, procedures, controls, and monitoring programs
- 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
- Bachelor's degree
- J.D.
- MBA
- Nice to have: QPAM compliance
- Nice to have: prohibited transaction exemptions
