Senior Analyst, Legal & Compliance

July 20

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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

• 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., CTA, etc.). • Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations. • Conduct new hire compliance training and assist with compliance onboarding of new hires. • Review and test various compliance procedures and controls. • Assist with preparation and completion of annual compliance risk assessment and the annual compliance review. • Assist with the review of marketing materials and other external communications or events across all business lines.

Requirements

• 2+ experience at: (i) an investment adviser working with family office clients and/or private investment funds; (ii) a securities compliance consulting firm; or (iii) a law firm working on relevant matters. • Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs. • Confident with technology and comfortable working through technical 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. • 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.