Senior Invest Compliance Specialist - SoFi : Job Details

Join to apply for the Senior Invest Compliance Specialist role at SoFi

Join to apply for the Senior Invest Compliance Specialist role at SoFi

This range is provided by SoFi. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$86,400.00/yr - $162,000.00/yr

Employee Applicant Privacy NoticeWho we are:Shape a brighter financial future with us.Together with our members, we're changing the way people think about and interact with personal finance.We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world.The role:The Senior Compliance Specialist participates in the development, implementation, and administration of the Company's Compliance Management Program for the SoFi Invest business unit. Reporting to the Compliance Advisor, this role includes general administration of the Invest Compliance Management Program for the Company's brokerage, and investment advisory business, with a focus on assisting the team in connection with regulatory inquiries and internal audits.What you'll do:The objective of this role is to facilitate the development, implementation and administration of our risk-based Compliance Management Program for the SoFi Invest product group. You will engage with compliance colleagues, business partners and other key stakeholders to offer appropriate knowledge, expertise and business acumen to meet the increasing demands of a rapidly changing regulatory environment, with a focus on regulatory inquiries.

• As a Senior Invest Compliance Specialist, you will be responsible for reviewing and coordinating regulatory inquiry response efforts in accordance with SoFi policies, written supervisory procedures, and broker-dealer and/or investment advisory regulations.
• Collaborate and influence internal stakeholders, including legal, compliance, risk management, operations and business units to drive regulatory inquiry responses .
• Review and analyze changes and developments concerning FINRA, SEC, and other regulatory rules, regulations and policies to help determine the impact on the firm's policies and procedures and suggest modifications to the same.
• Drive solutions and lead initiatives that assist our members and enhance all aspects of SoFi's Invest Compliance program.
• Partner with Engineering and Product Development on various Invest-specific projects
• Drive process automations and improvements
• Assist in routine internal audits and risk reviews
• Provide support and oversight of Invest Compliance risk and control inventory

What you'll need:

• 5+ years of relevant financial services work experience, preferably brokerage and investment advisory experience
• Series 7, 63 & 65 FINRA licenses are required
• Degree from an accredited university
• Ability to gather, analyze, and display data/information in appropriate format and keep accurate and organized records/documentation
• Project management capabilities
• Excellent oral and written communication skills
• Ability to work in a fast-paced, changing environment
• Superior organizational skills and attention to detail
• Outstanding ability to develop and foster cross-functional relationships with key stakeholders within and outside of Invest Compliance
• Thorough understanding of securities markets and compliance obligations of FINRA registered Broker-Dealers and SEC-registered Investment Advisors
• Exceptional experience with the Google suite of products and the Microsoft Office Suite

Nice to have:

• Series 4 and/or 24 licenses are preferred
• Prior experience at a self-directed or discount brokerage platform highly desired
• Experience assisting with the handling of regulatory matters and internal audits at financial services institutions
• Desire to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations
• Strong work ethic and ability to remain motivated in an independent work environment

Compensation And BenefitsThe base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location.To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page!SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.The Company hires the best qualified candidate for the job, without regard to protected characteristics.Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.New York applicants: Notice of Employee RightsSoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email [email protected] to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.Internal EmployeesIf you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.

Seniority level

• Seniority levelNot Applicable

Employment type

• Employment typeFull-time

Job function

• Job functionFinance and Sales

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