Senior Associate, Legal Counsel

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-r...

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

 

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
Curiosity about using technology, including artificial intelligence tools, to enhance legal and compliance workflows is a plus