Senior Legal & Compliance Associate
Savvy Wealth
full-time
Posted on:
Location Type: Hybrid
Location: New York City • New York • United States
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Salary
💰 $140,000 - $160,000 per year
Job Level
About the role
- 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)
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
contract draftingcontract managementcompliance monitoringregulatory filingsrisk managementpolicy developmentinvestigationsrecord-keepinglegal document reviewcorporate governance
Soft Skills
discretiontrust buildingcommunicationcollaborationattention to detailproblem-solvingorganizational skillssupportive teamworkadaptabilityconfidentiality
Certifications
Bachelor’s degree in Law (LLB)Paralegal Studies