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Savvy is a Series C registered investment advisor (RIA) and broker-dealer reinventing wealth management through AI-native technology. The company partners with independent financial advisors, providing them a modern platform, marketing support, investment management, and operational services. Savvy has raised $200M, employs 170+ people, and is on track for $100M ARR in 2026.
As the first Legal Operations Associate, you will mature Savvy's legal and compliance function to support rapid growth and increasing FINRA and SEC obligations. You'll transform ad hoc, attorney-owned administrative work into clear, repeatable, AI-enabled processes.
Key responsibilities include:
**Contract & Vendor Management:** Own the full vendor lifecycle from due diligence through contract repository management. Build and maintain a negotiation playbook and template library to ensure consistency. Run vendor due diligence including risk-tiering (prioritizing PII handlers) and annual security questionnaires. Maintain version control for all advisor- and client-facing agreements. Review first-pass redlines and handle routine agreements (NDAs, standard vendor contracts) using established playbooks, escalating complex matters to counsel.
**Legal & Compliance Intake:** Design and oversee an intake and escalation process that consolidates disparate channels into a single organized view. Triage and route all requests to appropriate owners while maintaining visibility into open items. Maintain a log of recurring questions to reduce repeat escalations to counsel.
**Compliance & Regulatory:** Develop and own the ADV update calendar and firm-wide compliance calendar covering all RIA and broker-dealer obligations. Run quarterly and annual IAR attestation cycles and drive near-100% on-time completion of advisor oversight requirements (trade oversight, OBAs, gifts and entertainment, attestations). Support regulatory filings, exams, and inspections. Track regulatory changes and translate compliance requirements into plain-language reminders and checklists for advisors.
**Outside Counsel & Budget:** Review outside counsel invoices against engagement terms and flag inconsistencies. Track spend against budget and provide Finance with clear quarterly views, flagging variances early.
**AI & Automation:** Own and maintain Claude-based internal legal tools (contract playbooks, regulatory change management). Design additional tools to improve efficiency. Use AI to triage intake, draft reminders and redlines, automate tracking, and review output before relying on it.
You'll work closely with the General Counsel and leadership, with real freedom to design your own systems and use AI tools from day one.
**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 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 have:**
- Broker-dealer and FINRA experience (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 (Series 65, Series 7)
- Prior experience at a high-growth fintech or startup
