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The Senior Compliance Manager will oversee the broker-dealer compliance team, ensuring adherence to compliance responsibilities and driving efficiencies through technology. This role includes managing personnel activities, regulatory audits, staff licensing and registration, handling customer complaints, and coordinating compliance advisory tasks, all while requiring some travel.

The Senior Compliance Manager will oversee the broker-dealer core compliance team, ensuring adherence to compliance policies, conducting regulatory audits, managing personnel licensing and registration, and driving efficiencies through technology. This role requires significant experience in broker-dealer compliance and personnel management, along with strong organizational and analytical skills.

The Senior Compliance Manager at SoFi will oversee broker-dealer compliance, ensuring adherence to policies and procedures. Responsibilities include managing personnel, regulatory audits, trade surveillance, compliance advisory, and customer complaint management, while also driving efficiency through technology. The role requires travel for branch inspections and requires strong management and compliance experience.