Securities Legal Counsel

OneDigital

13d•$110,000 - $130,000

About The Position

This role is responsible for delivering securities-focused legal counsel to support OneDigital’s registered investment adviser (RIA) and related financial services entities. The attorney in this role provides guidance on the Advisers Act, federal and state securities laws, privacy regulations, and operational risk considerations, ensuring that advisory activities, disclosures, marketing, and business practices align with regulatory expectations and internal standards.

Requirements

Strong understanding of ERISA, fiduciary governance principles, qualified plan structures, and PTE frameworks.
Ability to quickly understand service models, compensation arrangements, and adviser/client responsibilities under ERISA.
Ability to draft, interpret, and negotiate ERISA-related contracts and disclosures.
Demonstrated ability to analyze regulatory developments and assess their operational impact.
Excellent written and verbal communication skills, including the ability to convey complex matters with clarity.
High attention to detail, excellent time management, and comfort operating in a fast-paced environment.
Strong interpersonal skills and an ability to collaborate professionally.
Ability to work autonomously with minimal supervision.
Commitment to high integrity, confidentiality, and professional ethics.
Proficiency with Microsoft Word and Adobe Acrobat.
Continual learner with the ability to adapt to evolving regulatory and business environments.
Juris Doctorate from an ABA-accredited law school.
Member in good standing of at least one state bar.
Minimum 3 years of experience advising on the Advisers Act and securities regulatory matters.

Nice To Haves

Experience with the Exchange Act, FINRA regulations, cybersecurity/legal privacy frameworks, broker‑dealer structures, or mergers and acquisitions is strongly preferred.

Responsibilities

Draft, review, and maintain advisory client agreements, disclosures, and regulatory documents for RIA services.
Provide legal counsel on the Advisers Act, including fiduciary duty, advertising/marketing rules, custody considerations, Form ADV requirements, and conflicts of interest.
Advise on broker‑dealer considerations where applicable, including dual‑registrant interactions and product‑related regulatory obligations.
Support the CCO, Corporate Counsel, and Outside Counsel in litigation, regulatory inquiries, examination responses, and dispute resolution.
Conduct legal research and prepare analyses on SEC, FINRA, and state regulatory developments.
Partner with internal teams on marketing review, intellectual property questions, privacy and data-sharing matters (GLBA/Reg S‑P), cybersecurity governance, and incident‑response obligations.
Assist in the preparation, submission, and management of errors & omissions insurance, fidelity bonds, and other regulatory/insurance filings.
Provide training and periodic updates to Senior Leadership, Compliance, and relevant practice groups regarding new securities regulations and best practices.
Participate in due diligence and integration efforts for acquisitions related to investment advisory or broker‑dealer businesses.
Collaborate with the Compliance Department and leaders to streamline processes and improve operational efficiency.
Perform other duties assigned by the CCO or Deputy Chief Compliance Officer.