Chief Compliance Officer, Financial Services Industry Leader

6 days ago


New York, New York, United States Savvy Wealth Full time
About Savvy Wealth

Wealth management is a massive industry in the US with $545 billion annual revenue. However, it remains archaic and inefficient with low technology penetration. This inefficiency results in a poor client experience and over 70% of a financial advisor’s time spent on non-client facing tasks.

Savvy Wealth is a digital-first platform for financial advisors centered around modernizing human financial advice. By leveraging AI-powered software, sales and marketing automation, and back office workflows, financial advisors can supercharge growth and spend more time focused on growth.

The Role

This is an exciting opportunity to join our fast-growing, early stage firm as a Chief Compliance Officer. As the first legal and compliance hire, you will play a critical leadership role in ensuring that our firm remains compliant with all regulatory requirements while driving our business strategy forward.

You will be responsible for leading all legal and compliance functions, including maintaining our compliance program as an SEC-registered RIA and serving as Savvy Wealth’s CCO. Additionally, you will facilitate all corporate legal matters, manage the corporate affairs of the parent company and its subsidiaries, and oversee the development, implementation, and management of compliance policies, procedures, and controls.

As a strategic advisor to Savvy Wealth's leadership team, you will balance legal risk with business objectives in a high-growth, fast-paced environment. You will serve as the expert on a range of corporate matters, including corporate governance best practices, equity plans, and stock administration.

This is a hands-on leadership role for someone who thrives on building and scaling compliance and legal functions in innovative organizations. You should be adept at navigating an ambiguous and dynamic environment with limited guidance.



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