Joseph D.

Joseph D. Email and Phone Number

Vice President, RIA Regulatory Compliance @ iCapital
United States
Joseph D.'s Location
United States, United States
About Joseph D.

Experience professional with over 8 years of experience in the broader compliance space, touching areas of enhanced due diligence, investigative due diligence, anti-money laundering, regulatory reporting, and more.

Joseph D.'s Current Company Details
iCapital

Icapital

View
Vice President, RIA Regulatory Compliance
United States
Website:
icapitalnetwork.com
Employees:
1864
Joseph D. Work Experience Details
  • Icapital
    Vice President, Ria Regulatory Compliance
    Icapital
    United States
    View
  • Icapital
    Assistant Vice President, Regulatory Reporting (Compliance)
    Icapital Jul 2023 - Present
    Greenwich, Connecticut, United States
    Responsible for the firm’s various regulatory filings including, but not limited to, Form ADV, Form PF, Form D, “blue sky”, 45-106F1, BE-185, and AIFMD. Oversee vendor due diligence and monitoring and employ various routine compliance testing to ensure compliance with regulatory requirements. Manage group’s procedures. Assist in other parts of compliance on an ad-hoc basis.
    View
  • Icapital
    Assistant Vice President, Anti-Money Laundering (Compliance)
    Icapital Sep 2022 - Jul 2023
    Greenwich, Connecticut, United States
    Focused on the firm’s AML program, addressing alerts and high-risk investments. Reviewed sanctions activities and offered support to various business lines with respect to new and existing relationships.
    View
  • Bdo Usa, Llp
    Experienced Senior Associate, Investigative Due Diligence
    Bdo Usa, Llp Jul 2021 - Sep 2022
    New York City Metropolitan Area
    View
  • Bdo Usa
    Senior Associate, Investigative Due Diligence
    Bdo Usa Mar 2020 - Jul 2021
    New York, New York, United States
    View
  • Morgan Stanley
    Senior Enhanced Due Diligence Analyst (Aml)
    Morgan Stanley Mar 2018 - Mar 2020
    New York, Ny
    View
  • Morgan Stanley
    Enhanced Due Diligence Analyst (Aml)
    Morgan Stanley Mar 2016 - Mar 2018
    New York, New York, United States
    View
  • Selfhelp Community Services
    Office Administrator
    Selfhelp Community Services Sep 2013 - Apr 2016
    New York, Ny
    View
  • Bank Of America
    Services Specialist
    Bank Of America Jun 2011 - Jan 2012
    New York, Ny
    View

Joseph D. Education Details

Frequently Asked Questions about Joseph D.

What company does Joseph D. work for?

Joseph D. works for Icapital

What is Joseph D.'s role at the current company?

Joseph D.'s current role is Vice President, RIA Regulatory Compliance.

What schools did Joseph D. attend?

Joseph D. attended John Jay College (Cuny), Hunter College.

Who are Joseph D.'s colleagues?

Joseph D.'s colleagues are Maureen Grady-Leitenberger, Mba, Matt Mcgee, Caia, Cima®, Nick Denisov, Cfa, Mary Zembis, Derek Holland, Tarica Mahendra, Minu Kim.

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