About Savvy Wealth

• 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
• 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.
• 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)