• 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.