Control Room - Vice President / Senior Vice President

Описание вакансии

iCapital is looking for a Vice President / Senior Vice President– Control Room 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 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.
• 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, including adding, monitoring, and removing securities based on MNPI considerations.
• Assess trading activity against RTL restrictions and escalate potential violations for investigation and remediation.
• Maintain documentation supporting RTL decisions and audit trails for regulatory review.
• Lead or support investigations into potential MNPI misuse, information barrier breaches, or trading violations, including coordination with Legal and HR as appropriate.
• Develop and deliver targeted training on MNPI, information barriers, and RTL obligations for employees with elevated risk exposure.
• Monitor 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:

• 10-15+ 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 administering or advising on Restricted Trading Lists and trading surveillance controls.
• Ability to exercise sound judgment in complex, time‑sensitive situations involving senior stakeholders.
• 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
• JD a plus, but not required

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