Senior Compliance Manager, Invest

Posted 2 Days Ago
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Hiring Remotely in Cottonwood Heights, UT
Remote
Hybrid
7+ Years Experience
Fintech • Mobile • Software • Financial Services
SoFi’s mission is to help people reach financial independence to realize their ambitions.
The Role
The Senior Compliance Manager will oversee the broker-dealer compliance team, ensuring regulatory requirements are met while managing personnel, conducting audits, and administering compliance programs. This role also involves technology-driven efficiencies and travel for inspections and conferences.
Summary Generated by Built In

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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 SoFi Senior Invest Compliance Manager will be responsible for the oversight of the broker-dealer core compliance team. This position will report to the Chief Compliance Officer for SoFi Invest. The Compliance Manager will ensure that the core broker-dealer compliance responsibilities outlined below are executed as dictated by the firm's applicable policies, written supervisory procedures and operating procedures.
What you'll do:
The SoFi Invest compliance team encompasses all of the routine compliance responsibilities of the broker-dealer, which includes:

  • Personnel Management
  • Licensing and Registration of Broker-Dealer Personnel
  • Regulatory Audits and Reporting (Form B-D, U-4/U-5, FINRA Gateway/CRD portal, etc.)
  • Administration of SoFi's Trade and Communications Surveillance Program
  • Administration of Firm Element Continuing Education Requirements
  • Oversight of Communication Reviews
  • Compliance Advisory Responsibilities
  • Branch Office Inspections (Domestic and International)
  • Customer Complaint Escalation Management and Reporting
  • Compliance Tool Procurement, Administration, and Third Party Vendor Management


The team manager will be responsible for ensuring that the team's collective responsibilities are being met, and to drive efficiencies through technology wherever possible. This role will also require some traveling to attend branch inspections, team offsites, conferences, etc.
What you'll need:
A successful candidate for this position will have 5+ years of management experience and 10+ years in the broker-dealer compliance space.
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.
Required for this Role:

  • 5+ Years of Management Experience
  • 10+ Years of Broker-Dealer Compliance Experience
  • Bachelor's Degree or Higher Level Education
  • FINRA Series 7
  • FINRA Series 24
  • People Management Experience
  • Experience with the FINRA Gateway/CRD Portal
  • Working Knowledge of The Securities Exchange Act of 1933 and 1934


Nice to have:
In addition to the above mentioned requirements, a standout candidate will also have the following experience:
Preferred Experience Includes:

  • FINRA Series 4 (must obtain within 6 months of hire)
  • CRPC Certification
  • Working knowledge of CAT and CAIS reporting
  • Software Administration Experience
  • Vendor Procurement and Vendor Risk Review Experience
  • Regulatory Response Management Experience
  • Project Management Certification(s)


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 Rights
SoFi 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.

Top Skills

Finra Series 24
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The Company
HQ: San Francisco, CA
4,500 Employees
Hybrid Workplace
Year Founded: 2011

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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Employees engage in a combination of remote and on-site work.

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