Senior Legal Counsel - Wealth

Orion•Omaha, NE

40d•Hybrid

About The Position

As Senior Legal Counsel – Wealth Management, you will provide legal advice and support for Orion. The position will be a part of and support the efforts of Orion’s legal department. The position will report to Orion’s Deputy General Counsel, Wealth Management. The work involved will include contract review, negotiation, and drafting; counseling company personnel on business and compliance related legal issues; providing counsel on dispute resolution and contract interpretation matters; providing project management and oversight on legal related initiatives; and management of legal team reports. Candidates should exhibit a good working knowledge of U.S. securities laws, the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as the rules and regulations promulgated thereunder. Candidates should also have proficiency in contract review and drafting. As we continue to evolve and live our Orion values, we are looking for someone to grow with us. For Internal and External Candidates: Candidates must work in-office at one of the following locations for at least 3 days per week: Omaha, NE.

Requirements

Has knowledge of federal and state securities laws, rules, and regulations
Has knowledge of required financial services compliance regulations
Possess ability to manage, lead, inspire, direct, motivate, and develop a team of employees
Has ability to evaluate fact situations, identify legal issues, locate applicable legal authority and analyze current statutes, regulations and case law and recommend appropriate alternative courses of action and direction based on these
Has proficiency in reviewing, negotiating, and drafting contracts to support Orion’s business
Has effective written, listening and verbal communication skills to proactively consult with employees and customers, understand issues and recommend solutions
Has ability to develop and foster strong relationships with relevant internal and external parties
Has ability to manage, lead, inspire, direct, motivate, and develop a team of employees
Demonstrates accuracy and thoroughness
Has ability to multi-task while maintaining careful attention to detail
Has ability to work effectively both individually and within a team environment
Demonstrates ability to work with a sense of urgency to meet deadlines and address competing priorities
Has proficient skills with Microsoft Office software including Word, Excel, PowerPoint and Outlook
Demonstrates effective problem solving and organizational skills
Has a minimum of a Juris Doctorate
Is licensed to practice law in the state of Nebraska or the ability to obtain requisite license within six months
Has minimum of 3 years of experience as an attorney or other relevant job experience
Has minimum of 3 years of experience working in or for clients in the financial services industry
Owns and manages relationships with stakeholders directly and work effectively with people at all levels in an organization

Responsibilities

Have the primary responsibility for drafting, reviewing, and negotiating agreements for Orion
Provide legal counsel regarding new and existing wealth management product offerings
Provide legal advice on issues relating to: federal and state securities and financial services laws and regulations; data privacy and security laws, regulations, and issues (both domestic and offshore)
Develop and provide legal staff training sessions on pertinent laws/regulations relating to compliance
Provide legal support and partnership for Orion’s wealth management operations as well as senior leaders and executives across the organization
Assist Chief Compliance Officer of Orion in developing and maintaining policies and procedures to ensure compliance with applicable securities laws and data privacy/security laws
Manage and support governance and compliance activities in partnership with Orion’s risk and compliance teams, including, but not limited to, implementing regulatory compliance changes and helping to ensure that material issues and breaches are tracked and resolved in accordance with Orion standards
Work with outside litigation counsel, as determined by Orion’s General Counsel and/or Deputy General Counsel, to handle regulatory inquiries, litigation and arbitration filings and responses
Help ensure assignment and completion of projects and tasks assigned to Orion’s legal team, including potential management and oversight of personnel performing such tasks