Full-Time Senior Legal Counsel

OneDigital is seeking an attorney to support the Chief Compliance Officer (CCO) in handling legal matters and responding to legal inquiries for a growing registered investment advisory firm and its related entities.

Key Responsibilities:

• Create and maintain template client agreements for fiduciary and non-fiduciary services.
• Provide legal support on matters like contract review, negotiation, complaint investigation, privacy, data sharing, intellectual property, brand marketing, and mergers & acquisitions.
• Support litigation and dispute resolution.
• Provide legal counsel to the CCO, senior leadership, corporate counsel, and practice line leaders.
• Identify and mitigate legal risks, advising the CCO and senior leadership.
• Assist with corporate governance, business registration, and licensing.
• Respond to requests for information from internal and external sources.
• Prepare insurance applications (e.g., E&O, fidelity bonds).
• Stay current on regulations, legal developments, and industry best practices, providing updates, guidance, and training.
• Collaborate to innovate processes and improve efficiency.
• Perform other duties as assigned.

Qualifications:

• Juris Doctorate from an ABA-accredited law school.
• Admitted to at least one state bar.
• Minimum 3 years' experience with Advisers Act, ERISA, and state/federal privacy regulations.
• Prior experience with Securities Exchange Act, FINRA regulations, USA PATRIOT Act, state insurance regulations, or mergers & acquisitions is a plus.

Required Skills:

• Strong understanding of Investment Advisers Act of 1940, ERISA, and GLBA.
• Contract drafting, negotiation, and interpretation skills.
• Legal research and analysis skills.
• Ability to interpret laws' impact on operations.
• Excellent communication and interpersonal skills.
• Strong attention to detail, time management, and organizational skills.
• Fiduciary governance principles.
• Proficiency with Microsoft Word and Adobe Acrobat.

Compensation:

Typical base pay ranges from $140,000 to $160,000 per year.

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