Savvy Wealth · 8 hours ago
Legal & Compliance Senior Associate
New York, NY
Full-time
Onsite
Senior Level
$140K/yr - $160K/yr
5+ years expSavvy Wealth is a company focused on modernizing wealth management through technology. The Legal & Compliance Senior Associate will support the organization’s legal and regulatory obligations, assisting with contract management, compliance monitoring, and policy implementation.
Financial ServicesFinTechInformation TechnologyPersonal FinanceWealth Management
Responsibilities
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
Qualification
Required
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
Preferred
Broker-Dealer experience is a significant plus
Prior experience in a high-growth Fintech or 'Service-as-a-Software' environment
Additional certifications (e.g., Series 65, Series 7, or relevant Compliance/Risk designations)
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)
Company
Savvy Wealth
Savvy Wealth is a technology-enabled wealth management firm that provides a digital-first platform for financial advisors.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$105.8MKey Investors
The House Fund
2025-07-02Series B· $72M
2024-08-05Series A· $15.5M
2022-11-10Series A· $11M
Leadership Team
Ritik Malhotra
Founder & CEO
Recent News
2025-09-24
2025-09-24
2025-09-23
Company data provided by crunchbase