Associate, Legal & Compliance

We are seeking a skilled legal and compliance associate to join our team, where you will assist investment and client service teams across a diverse array of regulatory, corporate, fund, and investment compliance matters across various strategies and business lines.  The candidate will also have broad exposure to ICONIQ’s compliance program across its offices in the US, UK, and Singapore.

 

What You’ll Do:

• Assist business teams with a wide variety of regulatory, corporate, fund and investment compliance matters across various strategies.
• Draft, implement, maintain and test compliance policies and procedures and support the team in implementing these policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.).
• Assist with preparation and completion of annual compliance risk assessment and the annual compliance review.
• Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations.
• Assist with legal and compliance risk mitigation strategies (e.g., data privacy, MNPI, etc.) across multiple disciplines (e.g., client contracts, operational systems and compliance).
• Materially assist in the preparation of regulatory filings (Form ADV, Form PF, Forms 13G, 13H and 13F, Treasury Filings, CFTC filings, state “Blue Sky” filings and others).
• Review and approve external communications, marketing and business development materials, including social media, events, website, DDQs and RFPs.
• Assist with general KYC/AML requests from third parties.
• Assist with regulatory audits, inquiries, and subpoenas.

 

Ideal Candidate Background:

• 3+ years of experience in in-house legal and/or compliance department (JD from an accredited law school is a plus).
• Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs.
• Strong communication skills as well as time management, planning and organizational skills.
• Ability to work independently but also collaborate in a team-oriented, cross functional and fast-paced environment.

 

What We Offer:

• Comprehensive Medical, Dental and Vision Insurance.
• 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 our New York or 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 $130,000 - $145,000 together with the benefits listed above.

 

About ICONIQ Capital

ICONIQ Capital is a global investment firm elevated by an extraordinary community. With over $80B 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 [https://www.greenhouse.com/privacy-policy] and ICONIQ’s Privacy Policies available here [https://www.iconiqcapital.com/privacy-policies]. 

 

ICONIQ Capital, LLC provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.  The Company is committed to complying with its obligations under the Americans with Disabilities Act and will make reasonable accommodations for qualified individuals with known disabilities as required by law.