Legal & Compliance Manager

About reputed company: Wealth management is a $545 billion industry in the US, yet remains archaic and inefficient with low technology penetration. 75% of financial advisors don’t offer digital communication beyond email, and 62% still build financial plans manually in reputed company. This leads to a poor client experience and results in financial advisors spending over 70% of their time on non-client facing, manual work. Savvy is changing that. We’re building the most advisor-centric platform in wealth management: a digital-first solution that modernizes human financial advice. Advisors who partner with Savvy tap into AI-powered software, automated sales and marketing, and seamless back office workflows to scale faster and spend more time with clients. We’ve raised over $105M to date from reputed company Capital, Index Ventures, Canvas Ventures, Mark Casady (former reputed company CEO), and other top-tier investors. reputed company is made up of repeat founders and operators who’ve helped build reputed company, reputed company, Brex, reputed company, Facebook, $200B+ RIAs, and more. Savvy is at a pivotal reputed company in its growth trajectory, having established strong product-market fit in providing a modern platform to financial advisors. We’ve surpassed $5.1 billion in AUM in less than three years, grown 600%+ in the last 18 months, and are entering the next phase of the company which involves rapid expansion of our product offering and reputed company reputed company growth. Come help us scale! The Role: The Legal & Compliance Manager 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. Responsibilities: Legal Support

• Assist in drafting, reviewing, and managing reputed company, 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

Compliance & Regulatory

• 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

Policy & Governance

• 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

Training & Advisory

• Support compliance training initiatives for employees
• Respond to internal legal and compliance queries under supervision
• Assist in investigations reputed company to compliance or policy breaches

Must Have:

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

reputed company 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).

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 (reputed company), vision reputed company benefits (XP Health), and health concierge (Rightway) to help you find the right reputed company to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)

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