Employee Applicant Privacy Notice
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:
SoFi is seeking an attorney focused on its growing SoFi Invest business, with flexibility to support other parts of the SoFi enterprise as needed.
What you’ll do:
Advise the business on matters pertaining to SoFi’s SEC-registered broker-dealer and investment advisor, including the development, launch, and maintenance of products, marketing, disclosures and regulatory risk assessment and mitigation.
Provide legal guidance on securities law, SEC regulations, FINRA rules and applicable state securities laws.
Partner with business and compliance teams to implement controls and governance frameworks, including policies, procedures, and supervisory processes.
Review, draft and negotiate commercial agreements with vendors, financial infrastructure and service providers supporting the SoFi Invest platform.
Stay abreast of legislative and regulatory developments affecting broker-dealers and investment advisors, and advise on related business impacts.
Assist in the development of customer terms and disclosures.
Handle arbitrations brought by Invest customers.
Other assignments on an ad hoc basis.
What you’ll need:
You should be an intellectually curious self-starter with strong written and oral communication skills and sound judgment.
JD from an accredited law school and licensed to practice in at least one U.S. jurisdiction.
4 to 6 years of experience, ideally at a major law firm or in-house legal department.
Experience with broker-dealer and investment adviser regulatory frameworks, including the Securities Act, the Exchange Act, the Investment Advisers Act and FINRA rules.
Nice to have:
In-house counsel experience with a self-directed retail brokerage.
Top Skills
What the Team is Saying
What We Do
SoFi wasn’t built to be a bank. Or a technology company. We were built for one mission: help people achieve financial independence so they can realize their ambitions.
Redefining an entire industry isn’t easy work—and it’s not for the faint of heart. It takes a certain kind of team. People with diverse perspectives and expertise, united by a common sense of purpose. People willing to challenge assumptions but always do the right thing. People proving that innovation and responsibility don’t have to compete, but can come together to create something truly unconventional in the world.
For the last eight years, we’ve been charting this new path forward. We call it The SoFi Way.
At SoFi, we don’t just talk about culture: we live it. The SoFi Way is how we show up every day, how we make decisions, and how we build for our members, clients, and each other.
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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SoFi Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.
For the majority of our workforce who work on a hybrid schedule, the in-office requirement is a handful of days per month!
