Legal & Compliance Counsel

Wealth management is a $545 billion industry that still runs on manual work. 75% of advisors offer no digital communication beyond email, and most still build financial plans by hand in Excel. Savvy is reinventing what it looks like to be a financial advisor. Founder Ritik Malhotra saw the fragmentation firsthand after seeking out his own advisor, and started Savvy to give independent advisors a modern, AI-native home.

Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors who want to grow without running the back office themselves. Advisors bring their book and join Savvy, running under their own brand (or ours), and Savvy earns a percentage of the assets they manage. In return, they get a true business-in-a-box: a proprietary tech platform and client portal, an in-house marketing team that helps them grow, a world-class investment management team, and a dedicated client services team that runs day-to-day operations and support. Advisors at Savvy service up to 50% more households and save 19 hours a week.

AI runs through everything we do. On the product side, Savvy Intelligence (released April 2026) is the only AI built for wealth managers that can see a client's complete financial picture. Internally, everyone at Savvy uses Claude and is encouraged to experiment with it, backed by a dedicated AI enablement team and a RevOps org building agents in-house.

We're a Series B company hitting our stride, with roughly 150 employees and over 500% year-over-year growth, backed by $105M from Thrive Capital, Index Ventures, Canvas Ventures, and Mark Casady (former CEO of LPL Financial). We're also Great Place to Work Certified and shortlisted for Fortune's Best Workplaces in New York. Come help us scale!

The Role:

This role 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. This 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 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

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 related to compliance or policy breaches

Must Have:

• 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.

Nice to Have:

• Broker-Dealer experience is a significant plus.

• Juris Doctor (JD) from an accredited law school and active bar membership in at least one U.S. jurisdiction (or eligibility to obtain).

• 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).

• 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)