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Orion · 5 hours ago

Senior Legal Counsel - Wealth

Greater Omaha Area

Full-time

Hybrid

Mid, Senior Level

$141K/yr - $227K/yr

3+ years exp

Orion is a company dedicated to supporting one another and exceeding client expectations. As Senior Legal Counsel – Wealth Management, you will provide legal advice and support, focusing on contract review, compliance, and managing legal initiatives within the wealth management sector.

AccountingFinancial ServicesTrading Platform

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

Qualification

U.S. securities lawsInvestment Advisers ActContract reviewDraftingFinancial services complianceJuris DoctorateMicrosoft OfficeTeam managementEffective communicationProblem solvingAttention to detail

Required

Knowledge of U.S. securities laws, the Investment Advisers Act of 1940 and the Investment Company Act of 1940

Proficiency in contract review and drafting

Knowledge of federal and state securities laws, rules, and regulations

Knowledge of required financial services compliance regulations

Ability to manage, lead, inspire, direct, motivate, and develop a team of employees

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

Proficiency in reviewing, negotiating, and drafting contracts to support Orion's business

Effective written, listening and verbal communication skills to proactively consult with employees and customers, understand issues and recommend solutions

Ability to develop and foster strong relationships with relevant internal and external parties

Demonstrates accuracy and thoroughness

Ability to multi-task while maintaining careful attention to detail

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

Proficient skills with Microsoft Office software including Word, Excel, PowerPoint and Outlook

Demonstrates effective problem solving and organizational skills

Minimum of a Juris Doctorate

Licensed to practice law in the state of Nebraska or the ability to obtain requisite license within six months

Minimum of 3 years of experience as an attorney or other relevant job experience

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

Benefits

Health, dental, vision, and disability coverage on day one

401(k) plan with employer match

Paid parental leave

Pet benefits including pawternity leave and pet insurance

Student loan repayment

Company

Orion

Orion is a wealthtech powerhouse delivering an integrated suite of fully connected, disruptive technology and investment solutions on an open architecture platform.

Founded in 1999

Omaha, Nebraska, USA

1001-5000 employees