OneDigital · 1 month ago
Securities Legal Counsel
United States
Full-time
Remote
Mid Level
$110K/yr - $130K/yr
3+ years expOneDigital is a financial services company that focuses on employer-based benefits and personalized financial planning. The Securities Legal Counsel role involves providing legal guidance on securities laws and regulations, ensuring compliance with the Advisers Act, and supporting various legal and regulatory matters within the organization.
Human ResourcesInsuranceLife InsuranceSmall and Medium Businesses
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
Qualification
Required
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
Preferred
Experience with the Exchange Act, FINRA regulations, cybersecurity/legal privacy frameworks, broker‑dealer structures, or mergers and acquisitions is strongly preferred
Company
OneDigital
OneDigital is focused exclusively on employee benefits.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
CPP Investments
2025-09-19Secondary Market
2025-09-19Acquired
Leadership Team
Mike Sullivan
Co-Founder & Chief Growth Officer
T
Travis Dommert
SVP, Talent
Recent News
Alternative Credit Investor
2026-01-24
Company data provided by crunchbase