Control Room - Vice President / Senior Vice President

Job description

About the Role iCapital is looking to hire a Control Room Vice President or Senior Vice President candidate to join its Regulatory and Compliance team to lead the implementation, and enforcement of the firm’s information barrier, MNPI, and Restricted Trading List (RTL) programs. This role serves as a central point of escalation and oversight for potential conflicts arising from access to sensitive information across investment advisory, portfolio management, and distribution activities. The position partners closely with the Legal team 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. - Serve as the Control Room point of contact for matters involving potential MNPI, information barrier breaches, and wall crossing events. - Coordinate and document wall crossing approvals, acknowledgements, and related controls. - Administer and oversee the firm’s Restricted Trading List (RTL), including adding, monitoring, and remov...