Control Room - Associate

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.
• Cook up and document wall-crossing approvals, acknowledgments, and related controls.
• Coordinate and oversee the firm’s Restricted Trading List (RTL), including adding, monitoring, and removing securities based on MNPI considerations.
• 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.
• Aid in the development of targeted training on MNPI, information barriers, and RTL obligations for employees with elevated risk exposure.
• Cook up 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.
• A 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.
• A highly organized, detail-oriented, and comfortable managing confidential information.
• A collaborative, pragmatic, and effective approach across business, legal, and compliance functions.
• Able to thrive in a fast-paced environment with a continuous learning mindset.
• Robust project management and process development skills.

Pay

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).

Schedule

Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.