Job Description
iCapital is looking for an Associate – Control Room candidate to join its Regulatory and Compliance team to assist in the implementation, and enforcement of the firm’s information‑barrier, MNPI, and Restricted Trading List (RTL) programs. This role will assist in the oversight of potential conflicts arising from access to sensitive information across investment advisory, portfolio management, and distribution activities. The position partners closely with Legal to safeguard against misuse of MNPI, ensure compliance with securities laws, and promote a strong culture of compliance and ethical conduct.
Responsibilities
- Enhance, maintain, and enforce policies and procedures related to MNPI, information barriers, personal and firm trading restrictions, and conflicts of interest.
- Assist in matters involving potential MNPI, information barrier breaches, and wall‑crossing events.
- Coordinate and document wall‑crossing approvals, acknowledgements, and related controls.
- Support the administration and oversight of the firm’s Restricted Trading List, including adding, monitoring, and removing securities based on MNPI considerations.
- Conduct trading activity surveillance against RTL restrictions and escalate potential violations for investigation and remediation.
- Maintain documentation supporting RTL decisions and audit trails for regulatory review.
- Support investigations into potential MNPI misuse, information barrier breaches, or trading violations, including coordination with Legal and HR as appropriate.
- Assist in the development of targeted training on MNPI, information barriers, and RTL obligations for employees with elevated risk exposure.
- Coordinate monitoring of regulatory developments, enforcement actions, and industry trends related to insider trading and MNPI controls.
Qualifications
The ideal candidates may also possess the following critical qualities for success:
- 2-5 years of experience, preferably with demonstrated experience in a Control Room function or overseeing MNPI, insider trading, or information‑barrier programs.
- Strong understanding of U.S. securities laws and regulations related to insider trading and market abuse (e.g., Exchange Act Section 10(b), Rule 10b‑5).
- Experience in trading surveillance controls.
- Strong written and verbal communication skills, with the ability to clearly articulate risk and compliance requirements.
- Highly organized, detail‑oriented, and comfortable managing confidential information.
- Collaborative, pragmatic, and able to operate effectively across business, legal, and compliance functions.
- Thrives in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 3 days a week with the flexibility to work remotely 2 days.
Benefits
iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, and equity for all full-time employees; healthcare with 100% employer-paid health and dental insurance.
For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc
