Control Room Associate
About this role
Job title: Control Room Associate
About the Role The Control Room Associate will join iCapital’s Regulatory and Compliance team to implement and enforce information barriers, MNPI controls, and RTL processes. The role supports conflict oversight across investment advisory, portfolio management, and distribution activities and collaborates with Legal to safeguard against MNPI misuse and ensure compliance with securities laws.
What You'll Do
- 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.
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