Senior Invest Compliance Specialist

Sorry, this job was removed at 06:09 p.m. (CST) on Wednesday, Sep 17, 2025
Easy Apply
Hiring Remotely in United States
Remote or Hybrid
Fintech • Mobile • Software • Financial Services
SoFi’s mission is to help people reach financial independence to realize their ambitions.
The Role

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:

The Senior Compliance Specialist participates in the development, implementation, and    administration of the Company’s Compliance Management Program for the SoFi Invest business unit.  Reporting to the Compliance Advisor, this role includes general administration of the Invest Compliance Management Program for the Company’s brokerage, and investment advisory business, with a focus on assisting the team in connection with regulatory inquiries  and internal audits. 


What you’ll do: 

The objective of this role is to facilitate the development, implementation and administration of our risk-based Compliance Management Program for the SoFi Invest product group. You will engage with compliance colleagues, business partners and other key stakeholders to offer appropriate knowledge, expertise and business acumen to meet the increasing demands of a rapidly changing regulatory environment, with a focus on regulatory inquiries.


  • As a Senior Invest Compliance Specialist, you will be responsible for  reviewing and coordinating regulatory inquiry response efforts in accordance with SoFi policies, written supervisory procedures, and broker-dealer and/or investment advisory regulations. 

  • Collaborate and influence internal stakeholders, including legal, compliance, risk management, operations and business units to drive regulatory inquiry responses . 

  • Review and analyze changes and developments concerning FINRA, SEC, and other regulatory rules, regulations and policies to help determine the impact on the firm’s policies and procedures and suggest modifications to the same. 

  • Drive solutions and lead initiatives that assist our members and enhance all aspects of SoFi’s Invest Compliance program. 

  • Partner with Engineering and Product Development on various Invest-specific projects

  • Drive process automations and improvements

  • Assist in routine internal audits and risk reviews

  • Provide support and oversight of Invest Compliance risk and control inventory


What you’ll need:

  • 5+ years of relevant financial services work experience, preferably brokerage and investment advisory experience

  • Series 7, 63 & 65 FINRA licenses are required

  • Degree from an accredited university 

  • Ability to gather, analyze, and display data/information in appropriate format and keep accurate and organized records/documentation

  • Project management capabilities

  • Excellent oral and written communication skills

  • Ability to work in a fast-paced, changing environment

  • Superior organizational skills and attention to detail

  • Outstanding ability to develop and foster cross-functional relationships with key stakeholders within and outside of Invest Compliance

  • Thorough understanding of securities markets and compliance obligations of FINRA registered Broker-Dealers and SEC-registered Investment Advisors

  • Exceptional experience with the Google suite of products and the Microsoft Office Suite


Nice to have:

  • Series 4 and/or 24 licenses are preferred

  • Prior experience at a self-directed or discount brokerage platform highly desired

  • Experience assisting with the handling of regulatory matters and internal audits at financial services institutions

  • Desire to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations

  • Strong work ethic and ability to remain motivated in an independent work environment

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 RightsSoFi is committed to an inclusive culture. 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.

What the Team is Saying

Kari
Niyati
Mike
Suban
Caroline
Mona
Donald
Kari
Yelena
Thomas

Similar Jobs

SoFi Logo SoFi

Senior Manager, AML Financial Intelligence Unit

Fintech • Mobile • Software • Financial Services
Easy Apply
Remote or Hybrid
United States

SoFi Logo SoFi

Fraud Quality Control Analyst

Fintech • Mobile • Software • Financial Services
Easy Apply
Remote or Hybrid
United States

SoFi Logo SoFi

Mortgage Underwriter

Fintech • Mobile • Software • Financial Services
Easy Apply
Remote or Hybrid
United States

SoFi Logo SoFi

Manager, Compliance Marketing

Fintech • Mobile • Software • Financial Services
Easy Apply
Remote or Hybrid
United States
Get Personalized Job Insights.
Our AI-powered fit analysis compares your resume with a job listing so you know if your skills & experience align.

The Company
HQ: San Francisco, CA
4,500 Employees
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.

Gallery

Gallery
Gallery
Gallery
Gallery
Gallery

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!

Typical time on-site: Flexible
Company Office Image
HQSan Francisco, CA
Company Office Image
Cottonwood Heights, UT
Company Office Image
Frisco, TX
Company Office Image
Helena, MT
Company Office Image
Jacksonville, FL
Company Office Image
New York, NY
Company Office Image
Seattle, WA
Learn more

Sign up now Access later

Create Free Account

Please log in or sign up to report this job.

Create Free Account