SlipstreamJobs tracks this role from the company's public career site. Apply directly on the employer's site.
SoFi is a next-generation financial services company and national bank using mobile-first technology to serve millions of members. The Director of Compliance, Invest will lead the development, implementation, and administration of the Compliance Management Program for the SoFi Invest product group, providing primary compliance coverage for the registered investment adviser, SoFi Wealth.
In this role, you will serve as a trusted adviser and partner to business units driving growth of Invest product offerings while mitigating regulatory risk to the enterprise. You will manage day-to-day investment advisory compliance programs and assist with broker-dealer compliance programs. Key responsibilities include advising on FINRA and SEC rule applicability to new and evolving products (including AI-integrated investor experiences), preparing major compliance filings (Web CRD, IARD, EDGAR, Form ADV, RR/IAR disclosures), and conducting periodic reviews (4530, 3210, 206(4)-7).
You will develop and maintain Written Supervisory Procedures (WSPs), compliance manuals, codes of ethics, process workflows, and standard operating procedures. You'll participate in committees, audits, and examinations, testing processes and infrastructure for investment advisers and broker-dealers. Additionally, you will assist with key business and Independent Risk Management (IRM) initiatives from structural, functional, and organizational change management perspectives, serving as a liaison between compliance and business units while corresponding regularly with upper management.
Required: 10-12+ years of relevant financial services experience with thorough understanding of securities markets and compliance obligations of SEC Registered Investment Advisors and FINRA registered Broker Dealers. Bachelor's degree from accredited university strongly preferred. Series 7, 24, 63 & 65 (or 66) licenses preferred. Must demonstrate excellent verbal and written communication skills, ability to work in fast-paced changing environments, superior organizational skills, and outstanding ability to develop cross-functional relationships.
Nice to have: Series 4, 52, 53, & 79 licenses; experience with robo advisers, self-directed platforms, or discount brokerage platforms; experience implementing AI solutions for investor experience.
