Qualifications
Responsibilities
Support the design, documentation, and refinement of business processes, controls, and standard operating procedures (SOPs).
Create and execute routine control activities, including evidence collection, sampling, and quality assurance checks.
Collaborate with the Operations team to develop appropriate controls that facilitate key operational initiatives.
Create, maintain, and update control inventories.
Monitor and assess the implementation of strategic initiatives to evaluate their effectiveness against risk growth objectives.
Develop governance materials, dashboards, and control performance summaries for senior leadership.
Maintain a repository of audit-ready documentation with strong version control.
Track and report on control execution, issues, and remediation progress.
Analyze operational, risk, and business data to identify trends, control deficiencies, and process inefficiencies.
Build and manage dashboards, reports, and key metrics (KRIs/KCIs) to support governance and business decision-making.
Partner with the Operations, Product, and Analytics teams to enhance data quality and fortify data pipelines that support control activities.
Conduct in-depth analyses using SQL, Excel, or BI tools to assist with issue management, root cause analysis, and operational evaluations.
Evaluate control frameworks to ensure robustness and compliance.
About the job
About the Role
iCapital Network is on the lookout for a dedicated Assistant Vice President of Business Controls & Governance. In this pivotal role, you will enhance the firm's operational integrity by establishing a robust first line of defense (1LOD) business control framework. Your responsibilities will encompass risk identification, control design, execution, testing, and governance while implementing scalable processes, standardization, and data-driven insights within the Business Controls and Governance team. You will play a crucial role in identifying risks across essential operational workflows, converting risks into actionable preventive and detective controls, and ensuring that all controls are effectively documented, evidenced, stored, and operational to uphold both operational excellence and regulatory compliance.
This position requires a collaborative mindset and is central to achieving consistent risk and control outcomes throughout the organization. You will closely partner with the Operations and Investment Product Management leadership team, various process owners, and the Compliance (2LOD) and Risk teams to foster clear ownership, effective challenges, prompt issue resolution, and robust governance routines (including dashboards, committee materials, and control performance reporting). As the organization scales and the control environment evolves, this role offers significant opportunities for expanded responsibilities.
About iCapital Network
iCapital Network is a leading financial technology firm that streamlines access to alternative investments for advisors and their clients. With a commitment to innovation and excellence, we empower our partners with the tools and insights they need to succeed in a rapidly changing financial landscape.