Legal & Compliance Support · Financial Services

Legal & compliance support for financial services firms that can't afford gaps

By Zack Pennington, CEO Updated

In financial services, compliance isn't a back-office task: missed deadlines, outdated disclosures, or disorganized audit trails carry real regulatory and reputational risk. Whether you're managing SEC or FINRA obligations, state licensing renewals, or vendor contract reviews, the administrative burden is constant. A Nacho EA handles the tracking, documentation, and coordination work so your compliance officer or legal counsel can focus on judgment calls, not paperwork.

Tools we work with: DocuSign PandaDoc Airtable Google Workspace

How it works

How Nacho handles legal & compliance support for financial services firms

A Nacho EA supporting legal and compliance work in financial services typically operates as the connective tissue between your internal team, outside counsel, and regulatory deadlines. Day-to-day, that means maintaining compliance calendars in tools like Asana or Monday.com, tracking filing deadlines with FINRA, the SEC, or state regulators, and preparing document packages for attorney review. They'll manage version control on compliance policies, NDAs, and client agreements using SharePoint or Google Drive, and flag expiring licenses or registrations before they become a problem. Your compliance officer or general counsel sets the standards and makes final calls: the EA handles the logistics, follow-up, and documentation that keeps everything audit-ready.

Off your plate

What your EA takes off your plate

Before your EA starts, pull together a list of every recurring compliance deadline and license your firm currently manages, even if it's just a spreadsheet or a folder of past filings. The most common mistake is assuming the EA can reconstruct your compliance obligations from scratch; they can build and maintain the system, but the initial inventory needs to come from someone who knows your regulatory footprint. A 30-minute kickoff call with your compliance officer and the EA will save weeks of back-and-forth.

  1. Regulatory Filing Deadline Tracking

    Maintains a master compliance calendar for SEC, FINRA, or state-level filing deadlines and sends advance reminders to the responsible team member.

  2. State Licensing & Registration Renewal Management

    Monitors expiration dates for broker-dealer, RIA, or insurance licenses across jurisdictions and initiates renewal workflows with the appropriate state portals.

  3. Compliance Document Version Control

    Organizes and maintains current versions of ADV filings, Form U4/U5 records, compliance policies, and client disclosure documents in a structured SharePoint or Google Drive folder system.

  4. Vendor and Client Contract Intake Coordination

    Logs incoming NDAs, MSAs, and service agreements into a contract tracker, routes them to legal counsel for review, and follows up on signature status via DocuSign or Adobe Sign.

  5. Audit Preparation and Evidence Gathering

    Compiles documentation packages for internal audits or regulatory examinations, pulling records from your CRM, email archives, and document management system per the examiner's request list.

Your stack

Tools our team works with

We adapt to your existing stack, no forced migrations.

SharePoint
Google Workspace
PandaDoc
DocuSign
Notion
Airtable

...and many more!

Client proof

Trusted by financial services firms

Nacho supports financial services firms including Dominion Fund Services, handling everything from legal & compliance support to broader operational support.

Talent Budget

What legal & compliance support support costs for financial services firms

Drag the sliders to build a monthly plan that fits your workload.

Executive Assistants
~$35/hour
15 hours $525
Specialists
~$50/hour
10 hours $500
Fractional Executives
~$95/hour
5 hours $475
Your monthly budget
$1,500

Starting at $1,000/month. One-time $300 onboarding fee includes your Strategic Delegation Plan.

Book a discovery call

Good questions

Frequently asked questions

EAs handle administrative coordination: logging into regulatory portals, preparing submission packages, and tracking correspondence, but they don't provide legal advice or represent your firm in any official capacity. All substantive regulatory communications should be reviewed and approved by your compliance officer or legal counsel before submission.
All Nacho team members sign confidentiality agreements, and access to sensitive documents is scoped to what's needed for the specific engagement. We recommend using role-based permissions in your existing document management system, such as SharePoint or a secure client portal, rather than sharing credentials, which also gives you a clean audit trail of document access.
An EA works alongside your outside counsel, not in place of them, handling the administrative prep work that would otherwise eat into expensive attorney hours. That means organizing documents before they go to counsel, tracking turnaround on redlines, managing signature workflows, and maintaining records after agreements are executed, so your legal team is focused on legal work.

Ready when you are

Keep your compliance calendar under control

Nacho's onboarding includes a Strategic Delegation Plan built around your firm's specific regulatory obligations, so your EA is tracking the right deadlines from day one. Monthly talent budgets start at $1,000, with a one-time $300 onboarding fee.