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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 successful Compliance Advisor, Marketing candidate will work with a team of Compliance and Marketing professionals across the enterprise and will focus on broker-dealer and investment adviser marketing and advertising compliance.
SoFi’s broader Communications With the Public team (CWP) provides compliance expertise and partner support to SoFi’s Marketing, Business Development, Product, and Engineering departments. In a manner supportive of SoFi’s culture of cross-functional collaboration, the Compliance Advisor, Marketing will review and approve communications with the public prior to distribution, while ensuring regulatory adherence and managing to tight deadlines.
The ideal candidate will have broker-dealer advertising compliance experience, strong knowledge of FINRA and SEC regulatory requirements that apply to advertising and marketing. This includes, but is not limited to, FINRA Rules 2210, 3110, 4511, Investment Adviser Marketing, Investment Company Marketing, and related books and records requirements. This candidate will report directly to a principal in Invest Compliance and will also have a matrix reporting line into the Manager of the CWP team.
What you’ll do:
Review marketing assets submitted by the Marketing team, occasionally after hours and on weekends
Provide day-to-day marketing compliance support to various business units and act as the key point-of-contact between Compliance and the Marketing organization for escalations
Own and drive the research of regulatory risks, document analysis, and communicate recommended or required action to the impacted business teams
Track marketing claims and maintain associated disclosures and substantiation through the firm’s marketing workflow system
Drive the development and maintenance of SoFi’s policies, procedures, and regulatory compliance training material
Monitor changes in applicable laws, regulations, and industry standards
Assist with audit and exam responses related to the marketing review process
Other duties as assigned
What you’ll need:
FINRA Series 7, 24 licenses
8+ years of relevant work experience in financial services, with a preferred background in legal, compliance, marketing, or a related field
A degree from an accredited university or significant relevant experience demonstrating your understanding of marketing compliance in the financial sector
Propensity to thrive in a fast-paced, ever-changing environment while maintaining a sharp focus on compliance standards
Keen attention to detail required
Poise under pressure and ability to triage and prioritize competing priorities
Expertise in developing and fostering cross-functional relationships with key stakeholders to collaborate effectively
Art for articulating complex opinions and requirements in a simple and understandable way
Talent for developing practical, creative solutions that meet business needs while remaining compliant with laws and regulations
Flexibility to occasionally work outside of business hours as needs arise
Nice to have:
Series 4, 65/66
Experience with G Suite
Knowledge of RNDIP
Working understanding of general banking regulations
What the Team is Saying
SoFi Compensation & Benefits Highlights
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Parental & Family Support — Up to 12 weeks fully paid parental leave, paid caregiver leave, fertility/adoption resources, and subsidized backup childcare/eldercare are offered. Pet insurance and family-building support further broaden the coverage.
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Healthcare Strength — Medical, dental, and vision coverage is paired with company-paid short- and long-term disability and life insurance. Mental-health support via Modern Health and employer HSA contributions enhance overall health support.
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Leave & Time Off Breadth — Flexible vacation for exempt employees, generous PTO for non-exempt, paid holidays, and early-release “SoFi Fridays” expand time-off options. An additional 16 hours of paid volunteer time underscores community engagement.
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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!
