Savvy Wealth este o companie de administrare a averii bazată pe tehnologie, care deservește persoane cu avere netă ridicată prin planificare financiară și gestionarea personalizată a investițiilor. Platforma sa reunește consilieri financiari cu experiență și instrumente digitale, inclusiv un tablou de bord accesibil pentru monitorizarea investițiilor și a performanței financiare. Prin combinarea îndrumării umane cu tehnologia, Savvy Wealth susține o abordare transparentă, axată pe client, pentru gestionarea obiectivelor financiare pe termen lung și oferă oportunități profesioniștilor interesați să contribuie la conturarea viitorului administrării averii.
Legal Operations Associate at Savvy Wealth (New York City Hybrid)
Savvy Wealth is seeking a Legal Operations Associate to strengthen AI-enabled legal and compliance systems. The role covers vendor management, RIA and broker-dealer obligations, contracts, regulatory calendars, and outside counsel spend.
Descriere
- Strengthen and develop Savvy Wealth’s legal and compliance operations
- Manage the full vendor lifecycle, from due diligence and negotiation playbooks to template libraries and version-controlled contract storage
- Maintain the central vendor inventory, assign vendor risk tiers, and coordinate annual security questionnaires
- Control versions of advisor- and client-facing agreements
- Review initial redlines and manage routine agreements, escalating matters to counsel when appropriate
- Design and manage intake and escalation workflows for legal and compliance requests
- Assess incoming requests, route them to the right owners, and monitor progress through resolution
- Maintain a record of recurring contract and compliance questions
- Create and manage ADV and firm-wide compliance calendars covering RIA and broker-dealer obligations
- Lead quarterly and annual IAR attestations and ensure advisor oversight requirements are completed on time
- Support regulatory filings, examinations, and inspections while monitoring relevant regulatory changes
- Convert compliance requirements into clear reminders and advisor checklists
- Review outside counsel invoices and identify discrepancies
- Monitor outside counsel spending against budget and deliver quarterly reports to Finance
- Maintain Claude-based internal legal tools and help develop further automation
- Apply AI to intake triage, reminder and redline drafting, repetitive tracking, and output review
Cerințe
- At least 3–5 years of experience in legal operations, compliance, or paralegal work within the RIA sector
- Working knowledge of SEC RIA requirements, including Form ADV, IAR oversight, and third-party vendor oversight
- Demonstrated ability to build and manage an end-to-end tracking process using tools such as trackers, calendars, logs, or repositories
- Exceptional attention to detail when working against firm deadlines
- Sound judgment in deciding which matters to handle independently and which require counsel approval
- Strong written communication skills
- Ability to build effective working relationships across Legal, Product, Operations, and Finance
- Discretion when handling confidential information
- Daily comfort with AI tools and the discipline to verify their output before use
- Advanced proficiency with Google Workspace and modern compliance and contract lifecycle management tools
- Broker-dealer or FINRA experience is a significant advantage
- Hands-on experience with ComplianceAlpha, a contract lifecycle management platform, or Notion is advantageous
- Experience reviewing outside counsel invoices or monitoring legal spend is advantageous
- A paralegal certificate, JD, or relevant compliance credential such as Series 65 or Series 7 is advantageous
- Experience working at a high-growth fintech or startup is advantageous
Beneficii
- Competitive salary and equity package
- Unlimited paid time off and paid company holidays
- Medical, dental, and vision plan options
- Company 401(k), including Mega Backdoor Roth options
- Commuter plans
- HSA and FSA plans
- New York City office in Union Square
- Office lunch and snacks, with dinner provided when working late
- Virtual mental health care through Spring Health
- Health concierge services through Rightway
- Guardian WorkLifeMatters EAP counseling for stress management, dependent care, nutrition, fitness, legal, and financial matters