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Legal & Compliance Counsel

Savvy Insurance Services, Inc.

Job Overview

Location

NYC Office

Job Type

Full-time

Full Job Description

📋 Description

• Legal & Compliance Counsel at Savvy Insurance Services, Inc. supports the organization’s legal and regulatory obligations by managing contracts, monitoring compliance, assisting with regulatory filings, and creating policies to mitigate risk in a rapidly growing fintech wealth management platform.
• Day-to-day responsibilities include drafting and reviewing contracts, maintaining contract databases, monitoring compliance with SEC and FINRA regulations, assisting with regulatory filings and audits, updating internal policies, supporting corporate governance, and providing compliance training and advisory support under supervision.
• Savvy is a high-growth wealth management platform backed by $105M from top-tier investors, serving financial advisors with AI-powered tools to modernize advice delivery, having surpassed $5.1B in AUM and grown 600%+ in 18 months, with a mission to scale advisor productivity and client engagement.
• The role offers the opportunity to deepen expertise in RIA compliance, influence scalable legal and regulatory frameworks, work cross-functionally with Product, Sales, and Ops teams, and grow within a mission-driven, innovative fintech environment shaping the future of wealth management.

🎯 Requirements

• 5–8 years of experience in legal or compliance roles within the Registered Investment Advisor (RIA) space
• Deep familiarity with SEC regulatory portals and reporting requirements
• Bachelor’s degree in Law (LLB), Paralegal Studies, or a related field
• Ability to handle confidential information with discretion while building trust across Product, Sales, and Ops teams
• Strong proficiency in Google Workspace and modern compliance management tools

🏖️ Benefits

• 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 benefits (XP Health), and health concierge (Rightway)
• Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)

Skills & Technologies

Spring

Onsite

Degree Required

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Savvy Insurance Services, Inc.

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About Savvy Insurance Services, Inc.

Savvy combines technology and human financial advisors to provide wealth management services. The firm delivers personalized financial plans and investment strategies tailored to individual client goals. Savvy's advisors are located across the U.S. and can be found through their online search tool, with a focus area for each advisor. The company offers a dashboard for clients to track investments and progress towards financial goals. Savvy targets a wide range of clients, offering specialized services, such as P&G employee benefits and small business tax planning. Savvy has over $3 billion in assets under management.

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