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 You'll Do:
• 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.
What We Offer:
Comprehensive medical, dental, and vision insurance. Life and disability insurance, wellness programs, mental health support, fertility benefits, and backup childcare. Matching 401(k) program. Commuter benefits and stipends to support wellness and hybrid work. Professional development support, including tuition reimbursement and learning resources. Smart-casual dress code.
Location: Applicants are expected to work onsite in ICONIQ's San Francisco office in accordance with our hybrid working policy.
Compensation Range: ICONIQ is required by law to include a reasonable estimate of the salary range for this role, together with other compensation being offered such as a discretionary bonus, health insurance, and other perks. There are several factors taken into consideration in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. At ICONIQ, we apply a total reward philosophy where all aspects of compensation and benefits are taken into consideration in determining compensation terms. A reasonable estimate of the current salary range is $180,000 - $210,000 together with the benefits listed above.