Associate, Legal & Compliance

May 26

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ICONIQ Capital

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ICONIQ Capital is a global investment firm elevated by an extraordinary community$1. .$1

201 - 500

💰 Private Equity Round on 2020-11

Description

• Draft, analyze, review, and negotiate contracts, including client agreements, representation letters, vendor contracts and service agreements, etc. • Assist with legal and compliance risk mitigation strategies (e.g., data privacy, material non-public information, etc.) across multiple disciplines (e.g., client contracts, operational systems, and compliance) • Assist with general Know Your Customer (KYC)/Anti-Money Laundering (AML) requests from third parties • Review and approve external communications, marketing, and business development materials, including social media, events, website, Due Diligence Questionnaires (DDQs) and Request for Proposals (RFPs) • 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) • Support the team in implementing policies and procedures to address new business practices or regulatory changes (e.g., Corporate Transparency Act, etc.) • Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations

Requirements

• Juris Doctorate from an accredited law school and a minimum 3+ years of experience in the legal or compliance departments of an investment management firm or with a reputable U.S. or international law firm • Strong foundation in securities law, commercial law, or contract law • Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs • Familiarity with and knowledge of private equity funds, investment due diligence, securities regulations (both US and foreign) • Confident with technology and comfortable working through technological issues

Benefits

• 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 • Tuition reimbursement in addition to an allocation for books and other supplies needed for an individual's coursework • Smart-casual dress code