Contracts Legal Counsel

When you ask people what gives them peace of mind to live their best life, having a sense of financial security is usually at the top of the list. Our financial services include employer-based benefits like retirement planning so employers can help their people plan for a comfortable life after they stop working. We also provide personalized financial planning and investment services to help families succeed in every stage of life.

Our Newest Opportunity:

This role is responsible for delivering securities-focused legal counsel to support One Digital’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.

• 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.

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

The typical base pay range for this role nationwide is $110,000 to $130,000 per year.

One Digital is an equal opportunity employer. Not only as a matter of standard, but to honor and celebrate our differences. We believe that the power of ONE starts with you. We are committed to cultivating and…