Control Room - Associate

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 a...