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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In financial services, compliance isn't a back-office task: missed deadlines, outdated disclosures, or disorganized audit trails carry real regulatory and reputational risk.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

Can a Virtual Assistant handle legal & compliance support for financial services firms?

Yes. Nacho matches financial services firms with a vetted, 100% US-based Executive Assistant or Specialist who owns legal & compliance support week after week, not a one-off task. Onboarding starts with a $300 Delegation Strategy Plan, your Talent Budget starts at $1,000 a month, and matching takes about a week.

See how the match works What a Talent Budget costs Book a discovery call

How it works

How delegated legal & compliance support works 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 comes 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.

The model

What delegating to Nacho actually looks like

This is ongoing delegation to one vetted, US-based person, not a task posted to a marketplace.

  1. Start with a Delegation Strategy Plan

    A one-time $300 onboarding fee pairs you with a Client Success Manager who maps what to hand off first. See the full process.

  2. Get matched in about a week

    We match you with a vetted, 100% US-based Executive Assistant or Specialist in your time zone. If the fit is not right, the Nacho Guarantee re-matches you free.

  3. Set a monthly Talent Budget

    Budgets start at $1,000 a month and draw across Executive Assistants from $40/hr, Specialists from $65/hr, and Fractional Executives from $125/hr. Up to $200 of unused budget rolls over each month. For finance-led work, that senior seat is usually a Fractional CFO. See pricing in detail.

  4. Three months, then month to month

    The initial term is three months so the working relationship has time to compound, then it rolls month to month. Book a discovery call to size yours.

Talent Budget

What delegating legal & compliance support costs for financial services firms

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

Executive Assistants
from $40/hour
15 hours $600
Specialists
from $65/hour
10 hours $650
Fractional Executives
from $125/hour
5 hours $625
Your monthly budget
$1,875

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

Good questions

Frequently asked questions

Can a Nacho EA interact directly with FINRA, SEC, or state regulators on our behalf?
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.
How do you handle confidentiality given the sensitive nature of financial compliance documents?
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.
We already have outside legal counsel. How does an EA fit into that relationship?
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 Delegation Strategy 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.

Not sure yet? See how it works, compare the Executive Assistant, Specialist, and Fractional Executive roles, or read why we stayed 100% US-based.