This leader participates in the development, implementation and administration of the Company’s Compliance Management Program for the SoFi Invest product group. This includes support for self-directed brokerage activities, as well as investment advisory services. Plans, organizes and controls the company’s day-to-day securities compliance activities, as well as cooperates with the Compliance team in the overall administration of the legal and compliance directives for the company. The primary objective of this role is to serve as a trusted resource for and partner to the business units responsible for driving the growth of the Invest product, while mitigating regulatory risk to the SoFi enterprise. Participates in various committees, audits and examinations, as well as tests the processes and infrastructure for the broker dealer and investment advisor that facilitate Invest activities. Advises Compliance and Legal personnel on emerging compliance issues and consults and guides the company in the establishment of controls to mitigate risks. Engage with business partners to offer appropriate knowledge, expertise and business acumen to meet the increasing demands of a rapidly changing regulatory environment.
The ideal candidate will have experience with securities and investment advice regulatory requirements. This includes, but is not limited to, Securities Act of 33, Exchange Act of 34, Advisors Act of 40, and the FINRA Rule Framework. . The Compliance Officer may also assist, as needed, with other enterprise compliance initiatives related to supporting regulatory examinations, consumer protection, and oversight efforts.
At SoFi, you’ll become part of a new kind of finance company whose ambition is to help our members achieve financial independence and reach their goals. We aim to be at the center of our members’ financial lives, and to help every member get their money right. We created student loan refinancing, addressing the biggest financial challenge of a new generation through a modern approach to lending and personal finance. Next we expanded our products and services across loans, wealth management, and insurance. SoFi Money—a modern take on a checking or savings account--is our newest innovation and disruption to the financial services industry. SoFi has achieved significant growth, with ambitious plans ahead, but to continue this growth we need great talent. And that starts with you.
Key Skill Sets and Knowledge Requirements
Desired Skills or Experience
Competitive salary packages and bonuses.
Comprehensive medical, dental, vision and life insurance as well as disability benefits.
100% of medical, vision, and dental premiums paid by SoFI for employees and their dependents.
Generous vacation and holidays
401(k) and education on retirement planning.
Tuition reimbursement on approved programs, up to $5,250 a year.
Monthly contribution to help you pay off your student loans.
Employer paid lunch program and subsidized gym membership.