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-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 i

该职位隶属于ICONIQ的法律与合规团队，为投资、咨询及客户服务团队提供广泛的监管与法律事务支持。法律顾问高级助理将亲身参与就证券及投资咨询问题提供建议，并在一个充满活力、协作共进的环境中成长为一名全面的通用型律师。
你将做什么：
就遵守美国证券及投资咨询法律向内部团队提供建议，包括《1940年投资顾问法》项下的事项
根据需要支持国际司法管辖区（包括英国和新加坡）的证券及投资咨询事务
监测和解读监管动态，帮助确保及时遵守不断变化的要求
与跨职能团队合作开展政策制定、合规培训及最佳实践的实施
协助处理监管问询、检查和审计，与内部利益相关方及外部律师紧密合作
在监管、基金、公司、合同及投资事务方面提供一般法律支持，助力风险缓释及专项项目
理想候选人背景：
获得经认证的法学院颁发的法律博士学位，并持有美国执业律师资格
在领先律师事务所和/或内部法务部门拥有4年以上相关经验
具备证券法的工作知识，包括《1933年证券法》《1934年证券交易法》或《1940年投资顾问法》
具有在快节奏环境中跨团队协作并向高级利益相关方提供建议的经验
有兴趣在多个业务领域成长为通用型法律与合规专业人士
熟悉i

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