Job Description
About the Role
iCapital is looking to hire a Control Room Associate 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 (RTL), 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
- 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 (i.e. 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
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
Benefits
The base salary range for this role is $70,000 to $85,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
