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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 Senior Compliance Advisor for SoFi Invest will be responsible for providing retail brokerage advice and guidance to the Invest business and its key functional stakeholders, including Operations, Marketing, and Engineering, Product Development (EPD). This position will report directly to the Chief Compliance Officer for SoFi Invest. The Senior Compliance Advisor will work closely and interface with senior business and functional leaders and their teams to ensure that the firm’s broker-dealer compliance responsibilities, as outlined below, are executed in accordance with applicable regulations and the firm’s policies, written supervisory procedures and operating procedures.
What you’ll do:
The Senior Compliance Advisor for SoFi Invest will work closely with their Invest Compliance colleagues to advise and guide key business partners and stakeholders in connection with a wide variety of retail brokerage matters impacting SoFi Securities LLC, our self-directed, digital-first broker-dealer, including the following:
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Online sales, marketing and trading of numerous brokerage products including stocks, options, mutual funds, ETFs, alternative investments, IPO shares
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Licensing, Registration and Training of Broker-Dealer personnel
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Regulatory Exams and Inquiries, including liaising with relevant regulatory authorities
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Regulatory change management
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Internal Audits impacting the Invest business
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Working in partnership with Trade and Communications Surveillance and Customer Complaints teams
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Monitoring and Testing, including Branch Office Inspections
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Providing guidance on investment advisory matters impacting SoFi Wealth, our registered investment advisor, as needed
This role will also be responsible for driving efficiencies through technology, wherever possible, and will require some traveling to attend branch inspections, team offsites, conferences, etc.
What you’ll need:
A successful candidate for this position will have 10+ years in retail broker-dealer compliance and 5+ years of related management experience.
This role is in a dynamic environment in a fast growing business. General knowledge of retail brokerage operations, regulations, and industry best practices will be critical for success in this role. A keen attention to detail, strong organizational skills, and analytical skills will be a must for this position. Additionally, strong communication skills are required for conveying regulatory specific information to cross-business partners.
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10+ Years of Retail Broker-Dealer Compliance experience
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5+ Years of Related Management experience
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Bachelor’s Degree or higher-level education
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FINRA Series 7 and 24
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Experience drafting Written Supervisory Procedures and Reviewing Broker-Dealer Marketing Material and other Communications with the Public
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Strong working knowledge of the Securities Act of 1933 and Securities Exchange Act of 1934
Nice to have:
In addition to the above mentioned requirements, a standout candidate will also have the following experience:
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Online retail brokerage compliance experience is strongly preferred
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FINRA Series 4 (must obtain within 6 months of hire)
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CRCP Certification
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Working knowledge of CAT and CAIS reporting
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Software Administration experience
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Investment Advisory experience
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Regulatory Response Management experience
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 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].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.
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What We Do
For over a decade, SoFi has helped transform the Fintech industry by creating financial products and services that help people borrow, save, spend, invest, and protect their money better, so they can achieve financial independence and realize their ambitions. Whether it’s owning a home, saving for retirement, paying off their student loans, or helping our members invest - SoFi is there every step of the way. Want to learn more about how it works? Check it out here: https://www.sofi.com/how-it-works/
Our core values are at the center of how we help our millions of members get their money right. They are our guiding principles for how we think about serving our members, building our company, and most importantly, how we work together. At SoFi, it’s not just what we do - but how we do it.
SoFi is also proud to be the naming rights partner of SoFi Stadium, home of the Los Angeles Chargers and the Los Angeles Rams.
For more information, visit SoFi.com
Why Work With Us
Together with our members, we’re changing the way people think about and interact with personal finance. We’re a next-generation Fintech company using innovative, mobile-first technology to help our members reach their goals. The industry is going through an unprecedented transformation, and we’re at the forefront.
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