Senior Legal & Compliance Associate

🕒 January 29

🏢🏡 New York City – Hybrid

💵 $140k - $160k / year

⏰ Full Time

🟠 Senior

🧑‍💼 Attorney

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Savvy Wealth

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2021

💳 Fintech

💸 Finance

👥 B2C

Fintech • Finance • B2C

Savvy Wealth is a technology-driven wealth management firm that offers innovative financial planning and investment management services to high net worth individuals. The company combines advanced technology with experienced financial advisors to provide personalized financial strategies tailored to each client's unique needs. With a focus on transparency and client interests, Savvy Wealth empowers clients to track their investments and financial performance in an easily accessible dashboard, ensuring a seamless and comprehensive financial management experience.

📋 Description

• Assist in drafting, reviewing, and managing contracts, agreements, and legal documents • Maintain contract databases and ensure proper documentation and record-keeping • Support senior legal counsel on corporate and regulatory matters • Maintain contract databases and ensure proper documentation and record-keeping • Monitor compliance with applicable laws, regulations, and internal policies • Assist in implementing and updating compliance frameworks and procedures • Support regulatory filings, audits, and inspections • Track regulatory changes and assess their impact on the business • Assist in drafting, reviewing, and updating internal policies and codes of conduct • Support corporate governance activities, including board and committee documentation • Help ensure adherence to internal controls and risk management processes • Support compliance training initiatives for employees • Respond to internal legal and compliance queries under supervision • Assist in investigations related to compliance or policy breaches

🎯 Requirements

• 5–8 years of experience in legal or compliance roles specifically within the Registered Investment Advisor (RIA) space (BD experience a plus). • Deep familiarity with SEC regulatory portals and reporting requirements. • Bachelor’s degree in Law (LLB), Paralegal Studies, or a related field. • The ability to handle confidential information with absolute discretion while building trust across Product, Sales, and Ops teams. • Strong proficiency in Google Workspace and modern compliance management tools.

🏖️ Benefits

• Competitive salary and equity package • Unlimited PTO + paid company holidays • Access to holistic medical, dental, and vision plans • Company 401(k), Commuter, and HSA/FSA plans • NYC office in the heart of Manhattan • Lunch and snacks provided in the office • Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care • Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)