Legal Operations Associate

Savvy Wealth

. Refine and mature Savvy's legal and compliance function .

Posted 10/6/2026full-timeNew York City • New York • United StatesJuniorMid-Level💰 $120,000 - $140,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in legal operations and compliance within the RIA space, with a strong focus on managing vendor lifecycles, regulatory requirements, and compliance tracking systems. Proficient in utilizing AI tools and modern compliance technologies to enhance operational efficiency and maintain accurate records.

Highest-signal resume keywords

Legal Operations ExperienceCompliance KnowledgeVendor ManagementRegulatory Filings SupportAttention to Detail

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Legal OperationsCompliance Tracking SystemsVendor Lifecycle ManagementRegulatory ComplianceContract ManagementForm ADV KnowledgeIAR OversightAI Tool UtilizationGoogle Workspace ProficiencyComplianceAlpha Experience

Soft Skills

Clear Written CommunicationGood JudgmentTrust BuildingDiscretion with Confidential InformationAbility to Work Under Deadlines

Tools & Technologies

ComplianceAlphaNotionCLM ToolsGoogle WorkspaceAI Tools

Certifications & Qualifications

Paralegal CertificateJDSeries 65Series 7

Industry Keywords

RIABroker-DealerFINRAVendor OversightHigh-Growth Fintech

About the role

Key responsibilities & impact

Refine and mature Savvy's legal and compliance function
Own the full vendor lifecycle, including due diligence, negotiation playbooks, template libraries, and a version-controlled contract repository
Maintain a single source of truth vendor inventory, risk-tier vendors, and manage annual security questionnaires
Own version control for advisor- and client-facing agreements
Review first-pass redlines and handle routine agreements, escalating to counsel when required
Design and oversee legal and compliance request intake and escalation processes
Triage and route requests to appropriate owners and track items through resolution
Maintain a log of recurring contract and compliance questions
Develop and own ADV and firm-wide compliance calendars across RIA and broker-dealer obligations
Run quarterly and annual IAR attestation cycles and drive timely completion of advisor oversight requirements
Support regulatory filings, exams, and inspections and track relevant regulatory changes
Translate compliance requirements into plain-language reminders and advisor checklists
Review outside counsel invoices and flag inconsistencies
Track outside counsel spend against budget and provide Finance with quarterly reporting
Own and maintain Claude-based internal legal tools and help design additional automation
Use AI to triage intake, draft reminders and redlines, automate repetitive tracking, and review outputs

Requirements

What you’ll need

3-5+ years of experience in legal operations, compliance, or paralegal roles within the RIA space
Working knowledge of SEC RIA requirements, including Form ADV, IAR oversight, and third-party/vendor oversight expectations
Proven experience building and owning a tracking system or process end-to-end, including trackers, calendars, logs, or repositories
Strong attention to detail under hard deadlines
Good judgment about what can be handled independently versus what requires counsel's sign-off
Clear written communication
Ability to build trust across Legal, Product, Operations, and Finance teams
Ability to handle confidential information with discretion
Comfortable using AI tools day to day and checking AI output before relying on it
Strong proficiency in Google Workspace and modern compliance and CLM tools
Broker-dealer and FINRA experience is a significant plus
Hands-on experience with ComplianceAlpha, a CLM platform, or Notion is a plus
Experience reviewing outside counsel invoices or tracking legal spend is a plus
Paralegal certificate, JD, or relevant compliance designations such as Series 65 or Series 7 are a plus
Prior experience at a high-growth fintech or startup is a plus

Benefits

Comp & perks

Competitive salary and equity package
Unlimited PTO + paid company holidays
Access to holistic medical, dental, and vision plans
Company 401(k), including Mega backdoor Roth options
Commuter plans
HSA/FSA plans
NYC office in Union Square
Lunch and snacks provided in the office, and dinner if you stay late
Virtual mental health care through Spring Health
Health concierge through Rightway
Counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues through Guardian WorkLifeMatters EAP