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Savvy Wealth Logo Savvy Wealth · Legal

Legal & Compliance Senior Associate

United States, NYC 140000.00 - 160000.00 USD / Year · Job Posted February 21, 2026
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Job Description

The Legal & Compliance Senior Associate will support the organization’s legal and regulatory obligations by assisting with contract management, compliance monitoring, regulatory flings, policy and procedure creation & implementation, and project management. The role requires strong attention to detail, well versed in FINRA and SEC RIA requirements, sound legal and RIA compliance judgment, and the ability to work cross-functionally to mitigate legal and regulatory risk. Broker-Dealer experience is a plus.

Job Responsibility

  • 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
  • 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

Nice to have

  • 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)

What we offer

  • 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)
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