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Madeleine Dowling

Head of Regulatory and Compliance at iCapital
Intro Book
Madeleine Dowling is a seasoned securities expert with 26 years of experience, holding senior roles at iCapital, SIMON Markets LLC, and Sidley Austin LLP, with a JD from Fordham University School of Law and expertise in Securities, Finra, and Securities Litigation.
  • Claim this Profile
Location
United States, US
Skills
  • Securities
  • Securities Regulation
  • Finra
  • Securities Litigation
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Bio

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Madeleine Dowling is a seasoned securities expert with extensive experience in regulatory compliance, litigation, and industry leadership. As Head of Regulatory and Compliance at iCapital, she oversees the development and implementation of regulatory strategies, leveraging her expertise in Securities Regulation, Finra, and Securities Litigation. Dowling's impressive career spans over three decades, including a tenure as General Counsel at SIMON Markets LLC, where she advised clients on compliance with securities laws and FINRA rules. As a partner at Sidley Austin LLP, Dowling defended financial institutions in regulatory investigations and enforcement actions, and assisted clients with SEC and FINRA regulatory exams. Her academic background includes a Doctor of Law (JD) from Fordham University School of Law and a Bachelor of Arts (B.A.) in English Literature from St. Lawrence University. With a strong foundation in securities law and a proven track record of leadership, Dowling is well-equipped to provide strategic guidance and counsel to clients navigating complex regulatory landscapes.

Experience

  • iCapital
    • United States
    • Financial Services
    • 700 & Above Employee
    • Head of Regulatory and Compliance
      • Aug 2023 - Present

    • Managing Director, Legal
      • Aug 2022 - Present

    • Managing Director, Legal
      • Aug 2022 - Aug 2023

  • SIMON Markets LLC
    • General Counsel
      • Feb 2019 - Aug 2022

      SIMON is a financial technology company delivering an intelligent and innovative platform for financial advisors to access structured investments and other packaged products. The SIMON platform provides financial advisors with extensive educational content, robust analytics, and lifecycle managem...

  • Sidley Austin LLP
    • Partner
      • 1993 - 2019

      MADELEINE DOWLING was a partner in Sidley’s Securities and Derivatives Enforcement and Regulatory Practice group. Her practice ranged from defending financial institutions in regulatory investigations and enforcement actions to advising clients on compliance with the securities laws and FINRA rul...

  • Brown & Wood LLP
    • lawyer
      • 1993 - 2001

      Securities litigation

Education

  • 1990 - 1993
    Fordham University School of Law
  • 1985 - 1989
    St. Lawrence University

Suggested Services

This profile is unclaimed. These are suggested service rates with 0% commision upon successful connection

Industry Focus. “Financial Services”

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