Job description

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 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 What We Offer: Comprehensive Medical, Dental and Vision Insurance starting on your first day of employment. Life and disability insurance coverage as well as family and wellness benefits including mental health benefits, fertility benefits, and back-up childcare. A matching 401(k) program. Commuter Benefits program. Stipends to support wellness and hybrid working arrangements. We support employees who wish to pursue professional designations/certifications and offer tuition reimbursement in addition to an allocation for books and other supplies needed for an individual's coursework. 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. 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 $180,000.00-210,000.00 together with the benefits listed above. About ICONIQ ICONIQ is a global investment firm elevated by an extraordinary community. With over $100B assets under management, we seek to build resilient investment portfolios, partner with inspired entrepreneurs transforming industries, manage our clients’ lives and legacies, and create uncommon opportunities across sectors and society. When you submit a job application as a prospective employee (“your” or “your”) of ICONIQ Capital LLC (“ICONIQ,” “we,” “us,” or “our”), we or our service providers may collect, use, disclose and otherwise process personal information about you. Personal information collected by the Greenhouse portal is subject to the Greenhouse's privacy policy, available here [ greenhouse.com ] and ICONIQ’s Privacy Policies available here [ iconiqcapital.com ]. Use of AI in the Application Process We 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 success as a global organization. As an equal opportunity employer, we are deeply committed to fostering diversity and inclusion across our company. We do not tolerate discrimination based on any protected characteristic, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy, disability, or any other characteristic protected by law. Additionally, we provide reasonable accommodations to support applicants and employees with religious practices, mental health needs, physical disabilities, or other conditions requiring support.

Requirements

Must-haves

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

Nice-to-haves

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

Application prep

Use the role’s language and application details while tailoring your materials.

Keywords to mirror

Platform: greenhouse
Effort: quick

Benefits

Benefits detected in the listing.

Dental

Vision

401(K)

Wellness