Join to apply for the Senior Invest Compliance Specialist role at SoFi
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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 Notice
Who we are:
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Together with our members, were changing the way people think about and interact with personal finance.
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The role:
The Senior Compliance Specialist participates in the development, implementation, and administration of the Companys 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 Companys brokerage, and investment advisory business, with a focus on assisting the team in connection with regulatory inquiries and internal audits.
What youll 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 firms policies and procedures and suggest modifications to the same.
- Drive solutions and lead initiatives that assist our members and enhance all aspects of SoFis 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
- 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
- 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
The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidates 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 Rights
SoFi 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
Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.
Internal Employees
If 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 level
Not Applicable
Employment type
Employment type
Full-time
Job function
Job function
Finance and Sales
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