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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 Independent Compliance Testing (ICT) Program performs a key second line of defense role, to help ensure regulatory requirements are met across the applicable lines of business at SoFi.
The Compliance Testing Specialist in ICT will be responsible for executing risk-based compliance transaction, control, and outcomes-based testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable broker-dealer regulations, including but not limited to FINRA Rules and other regulations derived from the Investment Company Act of 1940 or Securities Exchange Act of 1934, as well as applicable state regulations of broker-dealers.
The Testing Compliance Specialist will report to the Regulatory Compliance Testing Team Lead, and the role may also require executing some testing in financial services subject matter areas other than those outlined above.
What you’ll do:
Executing aforementioned testing in adherence to program methodology and procedures, under the leadership of a team leader.
Ensure all tasks and reporting are completed within established timeframes, in accordance with the program’s test plan.
Analyzing data from multiple sources and systematically documenting the work and results.
Identifying and classifying any test findings properly; managing and tracking those findings to ensure the business owner remediates the issue; and performing validation and sustainability review/testing to confirm that the finding has been fully addressed.
Establishing and maintaining strong working relationships with relevant Compliance Officers and Business Areas.
What you’ll need:
Bachelor’s degree
At least 5-8 years of compliance testing or auditing experience, specifically within financial services or a regulated banking institution
Solid regulatory subject matter expertise with trading/brokerage operations, investment management
Strong problem-solving, critical thinking, and communication skills
Nice to have:
Solid working knowledge of brokerage products (e.g., options and mutual funds) processes (e.g., order routing, consolidated audit trails) and investment advisor operations; and their applicable laws and regulations.
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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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!
