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Legal Senior Leadership Opportunity in Financial Services

Investment Advisory Counsel

Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339

877 Executive Center Drive West, St. Petersburg, FL 33702

7755 Third Street North, Oakdale, MN 55128

12325 Port Grace Boulevard, La Vista, NE 68128

18700 N Hayden Road, Scottsdale, AZ 85255

Role Type: Full-time Exempt

Salary: $250,000 - $300,000 + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:https://careers.osaic.com/Benefits.

Summary:

Osaic is seeking a senior legal leader to serve as Investment Advisory Counsel, reporting directly to the Chief Legal Officer. This individual will act as the senior-most legal leader dedicated to Osaic's investment advisory businesses, functioning as de facto General Counsel across CW Advisors and additional RIAs acquired through ongoing M&A activity.

This role sits at the center of Osaic's growth strategy and "Journey to One" transformation and will play a critical role in integrating acquired advisory businesses, aligning governance and regulatory frameworks, and supporting the continued scale of Osaic's advisory platform.

Education Requirements:

• JD degree is required.
• Active bar membership in good standing in at least one U.S. jurisdiction.

Responsibilities:

Advisory Business Legal Leadership

• Serve as de facto General Counsel for CW Advisors and other acquired RIAs, providing embedded legal leadership across advisory businesses.
• Act as a core legal partner to advisory leadership, supporting client relationships, advisor activity and business operations.
• Provide guidance on fiduciary obligations, disclosures and advisory business practices.

RIA M&A & Integration Leadership

• Lead legal aspects of RIA acquisitions, including regulatory diligence, transaction structuring, and risk assessment.
• Oversee post-close integration, including client transitions, repapering, and alignment of disclosures, agreements and operating models.
• Support consolidation of advisory businesses into Osaic's broader platform.

Governance & Regulatory Architecture

• Design and align governance frameworks, supervisory models, and regulatory architecture across multiple RIAs.
• Advise boards, investment committees, and senior leadership on governance, fiduciary duties and enterprise risk.
• Ensure consistent regulatory alignment across advisory entities.

Advisory Programs & Regulatory Guidance

• Provide legal guidance on Investment Advisers Act requirements, including Form ADV, disclosures, conflicts of interest and client communications.
• Support the design, enhancement and governance of advisory programs.
• Address regulatory inquiries, examinations, and compliance matters.

Platform Alignment & Strategic Business Partnership

• Support Osaic's "Journey to One" strategy by aligning legal frameworks across advisory entities.
• Partner with business leaders to enable advisor productivity, platform efficiency and growth initiatives.
• Operate as an embedded business partner, balancing commercial objectives with regulatory requirements.

Risk Management & Legal Infrastructure

• Identify and mitigate legal and regulatory risks associated with advisory operations and growth.
• Embed governance discipline and legal continuity as the advisory platform scales.
• Support the development of scalable legal frameworks and best practices across the advisory business.
• Support a culture of proactive legal engagement and business enablement.

Basic Requirements:

• Significant experience advising registered investment advisers (RIAs) either independent or as a part of a larger financial services business.
• Deep knowledge of the Investment Advisers Act of 1940, fiduciary obligations and broader SEC and state regulatory frameworks.
• Experience operating as a senior legal partner within an advisory business, with exposure to client relationships, disclosures and fiduciary considerations.
• Strong understanding of advisory business models, including fee structures, conflicts of interest and advisor-driven service delivery.
• Demonstrated ability to operate as a business-facing legal advisor, balancing regulatory requirements with commercial objectives.

Preferred Requirements:

• Experience acting as General Counsel or de facto General Counsel for an RIA or advisory business.
• Experience with RIA acquisitions and integration, including regulatory diligence and post-close alignment.
• Experience working within multi-entity advisory platforms or complex wealth management organizations.
• Demonstrated ability to advise and present to boards, investment committees, and senior leadership.
• Experience aligning governance frameworks and supervisory models across multiple advisory entities.
• Prior experience operating in a high-growth, acquisitive, or private equity-backed environment.