SoFi
Regulatory Reporting Governance, Manager
SoFi - Charlotte, North Carolina, United States, 28269
Work at SoFi
Overview
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Overview
Regulatory Reporting Governance, Manager Join to apply for the
Regulatory Reporting Governance, Manager
role at
SoFi Regulatory Reporting Governance, Manager 1 week ago Be among the first 25 applicants Join to apply for the
Regulatory Reporting Governance, Manager
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 $115,200.00/yr - $216,000.00/yr Employee Applicant Privacy Notice
Maximise your chances of a successful application to this job by ensuring your CV and skills are a good match.
Who 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 SoFi Regulatory Reporting Governance Manager is a collaborative, well-organized, action-oriented individual with exceptional leadership and time management skills, confident in presenting, facilitating, and building a network of strong relationships across our organization. This is an individual contributor role, responsible for conducting quality assurance reviews to ensure we have reporting accuracy over the various regulatory reports submitted to FINRA, the Federal Reserve Bank (FRB) and Office of Comptroller of Currencies (OCC). This individual will also support financial audits and exams across the Bank Holding Company, Broker-Dealer, and the Bank, working in close coordination with Accounting, Regulatory Reporting, Finance Data Governance, Compliance, Service Management, Technologies, and various other teams.
What you’ll do:
Responsibilities include, but are not limited to:
Developing and executing a Quality Assurance framework with reviews including but not limited to:
Process reviews to identify control gaps and improvement opportunities for regulatory reporting functions. Compliance reviews to ensure adherence with regulatory reporting guidelines and requirements Substantive transaction testing Issue management and monitoring of action plans (to closure) Communication of findings through formal reports and presentations
Performing risk assessments to determine areas requiring additional review/testing Support regulatory reporting to ensure compliance with the reporting guidelines issued by the FRB, OCC, and FINRA. Project management to ensure timelines of reviews and remediations are met Ensure compliance with Quality Assurance governed frameworks e.g., Regulatory Reporting Governance policy, Self-Identified Re-filing Assessment Framework, Regulatory Report Risk Assessment and Cross Report Reconciliation Framework as assigned and prepare key metrics Facilitate and support the Bank and Broker-Dealer Audits Work closely and coordinate with various regulatory reporting, technology, data governance, service management, teams to ensure the quality assurance over the regulatory reporting processes Independently handle projects and drive solutions across multiple stake holders, projects, initiatives, reviews, and audits/exams Managing and responding to requests from regulators on an as-needed basis
What you’ll need:
Education: Bachelor's Degree in Finance or Accounting.
8+ years of work experience in Banking/Financial Services. Brokerage License Knowledge of financial and regulatory reporting Knowledge of regulatory audit and process review Strong leadership presence with roll-up the sleeves and get work done mentality Excellent relationship management and conflict resolution skills with a proven track record of positively collaborating, influencing, and extensively coordinating with internal and external partners Excellent written and verbal communications with ability to communicate complex concepts in simple terms Ability to be flexible, prioritize multiple demands, and effectively manage in a matrix organization. Ability to think strategically. A self-starter with a passion to consistently deliver high quality service and exceed stakeholders’ expectations.
Nice to have:
Master’s degree in Finance/Accounting CPA License Series 27 License Series 99 License
Compensation And Benefits
The 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 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 accommodations@sofi.com.
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 levelNot Applicable Employment type
Employment typeFull-time Job function
Job functionProject Management and Information Technology Referrals increase your chances of interviewing at SoFi by 2x Get notified about new Governance Manager jobs in
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Regulatory Reporting Governance, Manager
role at
SoFi Regulatory Reporting Governance, Manager 1 week ago Be among the first 25 applicants Join to apply for the
Regulatory Reporting Governance, Manager
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 $115,200.00/yr - $216,000.00/yr Employee Applicant Privacy Notice
Maximise your chances of a successful application to this job by ensuring your CV and skills are a good match.
Who 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 SoFi Regulatory Reporting Governance Manager is a collaborative, well-organized, action-oriented individual with exceptional leadership and time management skills, confident in presenting, facilitating, and building a network of strong relationships across our organization. This is an individual contributor role, responsible for conducting quality assurance reviews to ensure we have reporting accuracy over the various regulatory reports submitted to FINRA, the Federal Reserve Bank (FRB) and Office of Comptroller of Currencies (OCC). This individual will also support financial audits and exams across the Bank Holding Company, Broker-Dealer, and the Bank, working in close coordination with Accounting, Regulatory Reporting, Finance Data Governance, Compliance, Service Management, Technologies, and various other teams.
What you’ll do:
Responsibilities include, but are not limited to:
Developing and executing a Quality Assurance framework with reviews including but not limited to:
Process reviews to identify control gaps and improvement opportunities for regulatory reporting functions. Compliance reviews to ensure adherence with regulatory reporting guidelines and requirements Substantive transaction testing Issue management and monitoring of action plans (to closure) Communication of findings through formal reports and presentations
Performing risk assessments to determine areas requiring additional review/testing Support regulatory reporting to ensure compliance with the reporting guidelines issued by the FRB, OCC, and FINRA. Project management to ensure timelines of reviews and remediations are met Ensure compliance with Quality Assurance governed frameworks e.g., Regulatory Reporting Governance policy, Self-Identified Re-filing Assessment Framework, Regulatory Report Risk Assessment and Cross Report Reconciliation Framework as assigned and prepare key metrics Facilitate and support the Bank and Broker-Dealer Audits Work closely and coordinate with various regulatory reporting, technology, data governance, service management, teams to ensure the quality assurance over the regulatory reporting processes Independently handle projects and drive solutions across multiple stake holders, projects, initiatives, reviews, and audits/exams Managing and responding to requests from regulators on an as-needed basis
What you’ll need:
Education: Bachelor's Degree in Finance or Accounting.
8+ years of work experience in Banking/Financial Services. Brokerage License Knowledge of financial and regulatory reporting Knowledge of regulatory audit and process review Strong leadership presence with roll-up the sleeves and get work done mentality Excellent relationship management and conflict resolution skills with a proven track record of positively collaborating, influencing, and extensively coordinating with internal and external partners Excellent written and verbal communications with ability to communicate complex concepts in simple terms Ability to be flexible, prioritize multiple demands, and effectively manage in a matrix organization. Ability to think strategically. A self-starter with a passion to consistently deliver high quality service and exceed stakeholders’ expectations.
Nice to have:
Master’s degree in Finance/Accounting CPA License Series 27 License Series 99 License
Compensation And Benefits
The 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 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 accommodations@sofi.com.
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 levelNot Applicable Employment type
Employment typeFull-time Job function
Job functionProject Management and Information Technology Referrals increase your chances of interviewing at SoFi by 2x Get notified about new Governance Manager jobs in
Charlotte, NC . Senior Compliance Manager - Compliance Monitoring & Programs Charlotte, NC $138,320.00-$178,880.00 11 hours ago Compliance Manager, Regulatory Change Management Charlotte, NC $105,600.00-$198,000.00 2 weeks ago Charlotte, NC $69,528.00-$74,219.00 2 weeks ago Charlotte, NC $200,000.00-$225,000.00 3 days ago Enterprise Risk Governance Program Manager Charlotte, NC $111,408.00-$189,738.00 1 week ago BSA AML and OFAC Compliance Function Manager II Charlotte, NC $122,017.50-$166,149.00 4 days ago Charlotte, NC $81,900.00-$147,600.00 5 days ago HR Compliance Program Manager - Employee Relations Charlotte, NC $45.00-$50.00 59 minutes ago Manager - Cybersecurity Strategy and GovernanceDangerous Goods Transportation Compliance Manager Charlotte, NC $120,682.00-$177,000.00 1 week ago Associate Manager, Transaction Monitoring ComplianceOperational Risk Business Oversight Manager II Charlotte, NC $122,535.00-$208,715.00 3 weeks ago Operational Risk Business Oversight Manager I Charlotte, NC $122,535.00-$208,715.00 18 hours ago Financial Crimes Emerging Risk and Trends Investigative Manager Charlotte, NC $126,820.00-$149,200.00 5 days ago Compliance Transformation Projects Manager Charlotte, NC $110,000.00-$160,000.00 8 hours ago Fire Safety & Life Systems Compliance ManagerSenior Manager - CFIUS Security Compliance Advisor Charlotte, NC $120,000.00-$200,000.00 6 days ago Manager of Maintenance Regulatory Compliance Charlotte, NC $135,960.00-$169,950.00 4 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr