Legal Operations Associate

Savvy Wealth • New York, NY

3d • $120,000 - $140,000 • Onsite

About The Position

Savvy is hiring its first Legal Operations Associate to refine and mature its legal and compliance function. As a registered RIA and broker-dealer, we have a growing list of FINRA and SEC obligations. Savvy's rapid growth has driven a corresponding surge in compliance and contract volume, outpacing the administrative capacity available to manage it.
You'll take ad hoc, attorney-owned administrative work and turn it into clear, repeatable, AI-enabled processes. This will include overseeing the contract lifecycle, vendor due diligence, legal request intake, the ADV and compliance calendars, advisor compliance, and outside counsel spend. You'll work closely with the General Counsel and leadership and have real freedom to design your own systems and use AI tools from day one. Broker-dealer experience is a plus.

Requirements

• 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 (trackers, calendars, logs, repositories)
• Strong attention to detail under hard deadlines and good judgment about what you can handle yourself versus what needs counsel's sign-off
• Clear written communication and the ability to build trust across Legal, Product, Operations, and Finance teams while handling confidential information with discretion
• Comfortable using AI tools day to day, with a habit of checking AI output before relying on it
• Strong proficiency in Google Workspace and modern compliance and CLM tools

Nice To Haves

• Broker-dealer and FINRA experience (a significant plus)
• Hands-on experience with ComplianceAlpha, a CLM platform, or Notion
• Experience reviewing outside counsel invoices or tracking legal spend
• Paralegal certificate, JD, or relevant compliance designations (e.g., Series 65, Series 7)
• Prior experience at a high-growth fintech or startup

Responsibilities

• Own the full vendor lifecycle: due diligence, a negotiation playbook and template library to keep terms consistent across similar vendors, and a version-controlled contract repository
• Run vendor due diligence, including a single source of truth vendor inventory, risk-tiering all vendors (prioritizing those handling PII), and managing annual security questionnaires
• Own version control for all advisor- and client-facing agreements so all contracting is uniform and up to date
• Review first-pass redlines and handle routine agreements (e.g., NDAs, standard vendor contracts) using the playbook, and escalate to counsel when required
• Design and oversee the intake and escalation process for legal and compliance requests, consolidating disparate channels into a single, organized view so all requests are tracked through resolution
• Triage and route all questions and requests to the appropriate owner, maintaining visibility into all open items
• Keep a running log of recurring contract and compliance questions to cut down on repeat escalations to counsel
• Develop and own the ADV update calendar and firm-wide compliance calendar across all of Savvy’s RIA and BD obligations
• Run the quarterly and annual IAR attestation cycle and drive near-100% on-time completion of advisor oversight compliance requirements (trade oversight, OBAs, gifts and entertainment, attestations)
• Support regulatory filings, exams, and inspections, and track regulatory changes that affect the business
• Translate compliance requirements into plain-language reminders and checklists for advisors
• Review outside counsel invoices against engagement terms and flag inconsistencies
• Track outside counsel spend against budget and give Finance a clear quarterly view, flagging variances early
• Own and maintain our Claude-based internal legal tools (such as contract playbooks and regulatory change management skills), as well as helping design additional tools to improve efficiency
• Use AI to triage intake, draft reminders and redlines, automate repetitive tracking, and review the output before trusting it

Benefits

• 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, and HSA/FSA plans
• NYC office in Union Square
• Lunch and snacks provided in the office, & dinner if you stay late
• Access to virtual mental health care (Spring 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)

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed