ICONIQ is a global investment firm catalyzing opportunity through extraordinary community.
About the role
This role sits within ICONIQ’s Legal and Compliance team and supports investment, advisory, and client service teams across a broad range of regulatory and legal matters. The Senior Associate, Legal Counsel will play a hands-on role advising on securities and investment advisory issues while developing into a well-rounded generalist attorney within a dynamic, collaborative environment.
What they're looking for
- Juris Doctor degree from an accredited law school and licensed to practice law in the United States
- 4+ years of relevant experience at a leading law firm and or in-house legal department
- Working knowledge of securities laws, including the Securities Act of 1933, Securities Exchange Act of 1934, or the Investment Advisers Act of 1940
- Experience collaborating across teams and advising senior stakeholders in a fast-paced environment
- Interest in developing into a generalist legal and compliance professional across multiple business areas
- Familiarity with international securities or investment advisory regulations, particularly in the United Kingdom or Singapore, is a plus
More about this role
This role sits within ICONIQ’s Legal and Compliance team and supports investment, advisory, and client service teams across a broad range of regulatory and legal matters. The Senior Associate, Legal Counsel will play a hands-on role advising on securities and investment advisory issues while developing into a well-rounded generalist attorney within a dynamic, collaborative environment.
- Advise internal teams on compliance with United States securities and investment advisory laws, including matters under the Investment Advisers Act of 1940
- Support securities and investment advisory matters in international jurisdictions, including the United Kingdom and Singapore, as needed
- Monitor and interpret regulatory developments and help ensure timely compliance with evolving requirements
- Partner with cross-functional teams on policy development, compliance training, and implementation of best practices
- Assist with regulatory inquiries, examinations, and audits, working closely with internal stakeholders and outside counsel
- Provide general legal support across regulatory, fund, corporate, contract, and investment matters, contributing to risk mitigation and special projects
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