Control Room - Vice President / Senior Vice President

iCapital•Salt Lake City, UT

6d•$140,000 - $190,000•Hybrid

About The Position

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.

Requirements

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 (i.e. Exchange Act Section 10(b), Rule 10b‑5)
Experience administering or advising on Restricted Trading Lists and trading surveillance controls
Able 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

Nice To Haves

JD is a plus

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 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.

Benefits

The base salary range for this role is $140,000 to $190,000.
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).

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