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About this Opportunity

As a Legal Counsel, you will providelegal advice, support, counsel, and direction toOrionregarding legal affairs and various compliance and risk issues affecting our wealth technology businesses. The position will be a part of and support the efforts of Orion's Legal department.

The work involved will include contract review, negotiation, and drafting; counseling company personnel on business, technology, privacy, and compliance-related legal matters; providing practical, risk-based guidance on new initiatives and strategic projects; supporting SaaS products, AI initiatives, and emerging technologies; providing counsel on dispute resolution and contract interpretation matters; leading legal-related initiatives; and managing legal team reportsand administration.The role will be critical in providing legal support and counsel with respect to an evolving legal and regulatory landscape impacting data privacy and security, artificial intelligence, SaaS solutions, intellectual property protection, and Orion's wealth management operations and registered investment adviser subsidiaries.

The ideal candidate is a strategic, business-minded attorney who enjoys partnering with the business, takes ownership, communicates effectively with stakeholders at all levels, and is comfortable presenting recommendations to senior leaders and executive leadership. Candidates should exhibit a strong working knowledge of U.S. securities laws, the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as the rules and regulations promulgated thereunder,data privacy and security laws and regulations,along with proficiency in contract review and drafting. As we continue to evolve and live our Orion values, we are looking for someone to grow with us.

Location:

It is anticipated that an incumbent in this role will work as a Hybrid employee, with three (3) or more days each week required on-site at one of the listed office locations.

Candidates should be located within a commutable distance to an office. Internal candidates currently aligned to an Orion office location may be given preference; however, internal candidates with varying work arrangements may be considered based on experience and business needs. Work location is subject to change based on business needs.

In this role, you'll get to:

• Provide legal expert advice on business and personnel matters generally with particular focus on securities laws specifically in regard to Investment Advisers Act of 1930, the Securities Act of 1933, and the Securities and Exchange Act of 1934, data privacy and security laws and regulations, and emerging regulatory guidance, laws, and trends regarding financial services, particularly toward financial services, SaaS solutions and artificial intelligence

• Advise on the legal and regulatory implications of strategic initiatives, including new markets, partnerships, and product developments/offerings

• Have primary responsibility for drafting, reviewing, and negotiating agreements for Orion.

• Provide legal counsel regarding new and existing wealth management, SaaS, and technology-enabled product offerings, including emerging AI initiatives.

• Provide legal advice on issues relating to federal and state securities and financial services laws and regulations, data privacy and security laws, technology transactions, and legal considerations related to AI and emerging technologies.

• Develop and provide legal staff training sessions on pertinent laws, regulations, and emerging legal topics impacting the business.

• Advise on corporate governance, commercial contracts, employment law, litigation, mergers and acquisitions, and intellectual property

• Draft, review and negotiate high-value, complex agreements and transactions, including but not limited to client service agreements, vendor agreements, IP licensing agreements, and agreements with integration partners

• Ensure protection of Orion's intellectual property

• Complete IP related filings and records and ensure maintenance of IP records

• Provide legal support and partnership for Orion's wealth management operations, as well as senior leaders and executives across the organization.

• Partner with Product, Engineering, Information Security, Risk, Compliance, and business leaders to provide practical legal guidance that supports innovation while appropriately managing legal and regulatory risk.

• Work with Orion's Compliance and Risk departmentsin developing and maintaining policies and procedures to ensure compliance with applicable securities, data privacy, and security laws.

• Manage and support governance and compliance activities in partnership with Orion's Risk and Compliance teams, including implementing regulatory changes and helping ensure material issues and risks are tracked and resolved in accordance with Orion standards.

• Present legal analysis, recommendations, and risk assessments to senior leadership and executive stakeholders in a clear, business-focused manner.

• Work with outside litigation counsel, as determined by Orion's General Counsel and/orSVP, Legal and Risk Management, to handle regulatory inquiries, litigation, and arbitration matters.

• 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.

We're looking for talent who:

• Has knowledge of federal and state securitiesand financial serviceslaws, rules, and regulations.

• Has knowledge of financial services compliance regulations.

• Has knowledge of data privacy and security laws, rules, and regulations.

• Has proficiency in reviewing, negotiating, and drafting complex contracts.

• Has experience supporting financial services, fintech, SaaS, or other highly regulated technology organizations.

• Has familiarity with data privacy, cybersecurity, AI, cloud technologies, or emerging technology legal issues.

• Demonstrates a strong sense of ownership and accountability, proactively driving legal matters from issue identification through resolution.

• Is comfortable operating in a fast-paced, evolving business environment while balancing legal risk with business objectives.

• Can effectively communicate complex legal concepts to non-legal audiences, including senior executives.

• Builds trusted partnerships across Legal, Product, Engineering, Risk, Compliance, Information Security, and business teams.

• Demonstrates sound judgment, executive presence, and confidence influencing stakeholders at all levels of the organization.

• Has effective written, listening, and verbal communication skills to proactively consult with employees and customers, understand issues, and recommend practical solutions.

• Has the ability to evaluate fact situations, identify legal issues, locate applicable legal authority, analyze statutes, regulations, and case law, and recommend appropriate courses of action.

• Has the ability to develop and foster strong relationships with internal and external partners.

• Demonstrates accuracy and thoroughness.

• Has strong analytical problem solving and organizational skills.

• Has strong interpersonal skills and ability to influence without direct authority.

• Demonstrates accuracy, thoroughness, strong organizational skills, and attention to detail.

• Has the ability to manage multiple priorities while maintaining high-quality work.

• Works effectively both independently and within a collaborative team environment.

• Demonstrates a sense of urgency and the ability to prioritize competing deadlines.

• Has proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and Outlook.

• Has proficiency working with AI cowork tools and agents.

• Has a Juris Doctor degree.

• Is licensed to practice law in the state of Nebraska or has the ability to obtain the requisite license within six months.

• Has a minimum of 3 years of experience as an attorney or other relevant legal experience.

• Has experience working in or advising clients in the financial services, fintech, SaaS, or technology industry.

• Owns and manages stakeholder relationships effectively while partnering with individuals at all levels of the organization.

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Recommended Skills:

Salary Range:

The pay listed in this posting indicates the estimated pay at the time of this posting; however, may vary depending on geographic location, job-related knowledge, skills, and experience. In addition, Orion offers a competitive benefits package which includes health, dental, vision, and disability coverage on day one, 401(k) plan with employer match, paid parentalleave, pet benefits including pawternity leave and pet insurance, student loan repayment and more.

About Us

At Orion, we achieve our best work when we support one another, staying personally accountable to each other and the clients we serve. We create a welcoming environment where everyone is respected, valued, and heard. Our commitment to create raving fans ensures we consistently exceed client expectations. Thinking differently is in our DNA-we innovate always, push boundaries, and reject the status quo to deliver transformative outcomes. Together, we support one another and see it through to success, driving our collective achievements and those of our clients.