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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
In this role, you will participate in the development, implementation and administration of the Compliance Management Program for the SoFi Invest product group. You will provide primary compliance coverage in support of the registered investment adviser, SoFi Wealth. The main objective of this role is to serve as a trusted adviser and partner to the business units responsible for driving the growth of the broader Invest product offerings (including SoFi Wealth), while mitigating regulatory risk to the SoFi enterprise. You will participate in various committees, audits and examinations, as well as test the processes and infrastructure for the investment adviser and broker dealer that facilitate Invest activities through the administration and maintenance of the Compliance Risk Assessment and Annual Reviews. You will advise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the establishment of controls to mitigate risks. You will engage with business partners to offer appropriate knowledge, expertise and business acumen to meet the increasing demands of a rapidly changing regulatory environment.
What you’ll do:
Day-to-day responsibility for management and ongoing evolution of the firm's investment advisory compliance programs
Assist in the management of the firm’s broker-dealer compliance programs
Advise on FINRA and SEC rule applicability to new and evolving products and services, including the integration of AI in the investor experience
Preparation of major compliance-related projects and filings, including but not limited to Web CRD filings, IARD filings, EDGAR filings, Form ADV, RR/IAR disclosures and all periodic reviews (4530, 3210, 206(4)-7 etc.)
Assisting with the development, maintenance, and documentation of WSPs, compliance manual, code of ethics, process workflows and standard operating procedures
Assisting with the management of key business and Independent Risk Management (IRM) initiatives from a structural, functional, and organizational change management perspective
Serve as liaison between the compliance team and the Business Units, corresponding regularly with upper management.
What you’ll need:
10-12+ years of relevant work experience in financial services, including a thorough understanding of securities markets and compliance obligations of SEC Registered Investment Advisors and FINRA registered Broker Dealers
Degree from an accredited university strongly preferred
Series 7, 24, 63 & 65 (or 66) licenses preferred
Excellent verbal and written communication skills; must be able to effectively articulate regulatory risks and proposed mitigation strategies
Ability to work in a fast-paced, changing environment
Ability to analyze and interpret rules, regulations, and policies
Superior organizational skills and attention to detail
Outstanding ability to develop and foster cross-functional relationships with key stakeholders
Desire to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations
Nice to have:
Series 4, 52, 53, & 79 licenses
Work with a robo adviser, self-directed, and/or discount brokerage platform highly desired
Experience with implementing AI solutions to enhance the investor experience preferred
Understanding of fractional share trading preferred
Working understanding of general banking and lending regulations is helpful
Experience in compliance monitoring, oversight, or assurance programs at financial institutions
Strong work ethic and ability to remain motivated in an independent work environment
Skills Required
- 10-12+ years relevant work experience in financial services with deep knowledge of SEC Registered Investment Advisers and FINRA Broker-Dealers
- Experience advising on FINRA and SEC rules and preparing regulatory filings (Form ADV, Web CRD/IARD, EDGAR, RR/IAR disclosures)
- Ability to analyze and interpret rules, regulations, and policies and articulate regulatory risks and mitigation strategies
- Excellent verbal and written communication skills
- Superior organizational skills and attention to detail
- Ability to develop and foster cross-functional relationships with key stakeholders
- Ability to work in a fast-paced, changing environment and manage major compliance projects and examinations
- Degree from an accredited university
- Series 7, 24, 63 & 65 (or 66) licenses
- Experience with robo-advisor, self-directed, or discount brokerage platforms
- Experience implementing AI solutions to enhance investor experience
- Understanding of fractional share trading
- Experience in compliance monitoring, oversight, or assurance programs at financial institutions
- Series 4, 52, 53, & 79 licenses
- Working understanding of general banking and lending regulations
What the Team is Saying
SoFi Compensation & Benefits Highlights
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Healthcare Strength — Healthcare options are described as comprehensive, spanning medical, dental, vision, company‑paid life and disability, EAP, and mental‑health coaching/therapy, along with wellness and gym programs. Some plans include employer HSA contributions and even 100% premium coverage in certain cases, underscoring robust day‑to‑day support.
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Parental & Family Support — Programs include up to 12 weeks of fully paid parental leave, fertility and adoption resources, and subsidized backup child and elder care. Additional offerings such as pet insurance round out a family‑friendly package.
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Leave & Time Off Breadth — Time off includes flexible vacation for exempt staff, generous PTO/sick time for non‑exempt employees, paid holidays, bereavement, jury duty, disability leaves, and early‑release “SoFi Fridays.” This breadth creates multiple avenues to step away and recharge across different employee groups.
SoFi Insights
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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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!
