Securities 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: 

Summary:

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

Essential Duties and Responsibilities (includes but is not limited to):

· 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.

Qualifications, Skills and Requirements:

· 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.

Education, Training and Experience:

· 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.

OneDigital 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 preserving a culture that celebrates diversity, insists on equity and inclusion, and connects us. Ensuring our people feel seen, valued, respected, and supported is fundamental to our core values and business goals.

OneDigital provides equal employment opportunities to all employees and applicants for employment regardless of their: veteran status, uniformed servicemember status, race, color, religion, sex, sexual orientation, gender identity, age (40 and over), pregnancy (including childbirth, lactation and related medical conditions), national origin or ancestry, citizenship or immigration status, physical or mental disability, genetic information (including testing and characteristics) or any other category protected by federal, state or local law (collectively, “protected characteristics”). A copy of the Federal EEO poster is linked here.

Pursuant to local Fair Chance Ordinances, we will consider qualified applications with arrest or conviction records for employment. For applicable candidates, the following ordinances are linked here to inform you of your rights as an applicant:

City and County of San Francsico

City of Los Angeles

County of Los Angeles

Employment decisions shall comply with all other applicable federal, state and city/county laws prohibiting discrimination in employment. OneDigital complies with all criminal history inquiry [or ‘ban the box’] laws in California, Connecticut, Colorado, Hawaii, Illinois, Maine, Maryland, Massachusetts, Minnesota, New Jersey, New Mexico, Oregon, Rhode Island, Vermont and Washington.

In short, we believe in hiring the most qualified applicant for the position, regardless of background.

If you have questions about our hiring policies and practices, we would be happy to discuss upon receiving your application. We hope to welcome you to OneDigital and look forward to hearing from you.

OneDigital understands the immense responsibility and opportunities provided by Artificial Intelligence. We utilize advanced Artificial Intelligence [AI] technologies to enhance our recruitment process. This includes using AI to filter candidates based on their qualifications and to rediscover potential candidates from our existing applicant pool. Our AI systems help us efficiently identify the best fit for our open positions, ensuring a streamlined and effective hiring experience. However, AI does not replace the humans in our process. If you have concerns about our use of AI, you may opt out where laws allow.

Thank you for your interest in joining the OneDigital team!