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
Ideal Candidate Background:
Juris Doctor degree from an accredited law school and licensed to practice law in the United States
Four or more 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
Curiosity about using technology, including artificial intelligence tools, to enhance legal and compliance workflows is a plus
Benefits
Comprehensive medical, dental, and vision insuranceLife and disability insurance, wellness programs, mental health support, fertility benefits, and backup childcareMatching 401(k) programCommuter benefits and stipends to support wellness and hybrid workProfessional development support, including tuition reimbursement and learning resourcesSmart-casual dress codeLocation: Applicants are expected to work onsite in ICONIQ's San Francisco office in accordance with our hybrid working policy.About ICONIQUse of AI in the Application ProcessWe expect candidates to be fluent in using AI tools to enhance their work. You're welcome to use AI in preparing your application where it adds value, but your materials must be accurate and reflect your own experience, judgement and voice.We care most about how you think, what you've personally contributed, and how you use tools like AI to drive better outcomes. Strong candidates demonstrate both authenticity and leverage, using AI to elevate their work while maintaining clear ownership.Throughout the interview process, you should be prepared to speak in depth about your experience and contributions in your own words.Equal Employment Opportunity Statement:We recognize that our people are our greatest strength, and the diverse skills and perspectives they contribute are integral to our succesHealth insuranceDental insuranceVision insurance401(k)Performance bonus
Additional Information
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.
Iconiq · San Francisco, CA