合规主管，Invest
Director of Compliance, Invest
[**员工申请者隐私通知**](https://www.sofi.com/sofi-employee-applicant-privacy-notice/)
**我们是谁：**
与我们一同塑造更光明的财务未来。
与我们的会员一起，我们正在改变人们思考和与个人财务互动的方式。
我们是一家新一代的金融服务公司和国家银行，利用创新的、以移动优先的技术，帮助数百万会员实现他们的目标。行业正在经历前所未有的变革，而我们正处于前沿。我们自豪地每天来到工作岗位，因为我们知道我们的工作对人们的生活有直接影响，我们的核心价值观始终指引着我们每一步。**加入我们，投资你自己、你的职业生涯和金融世界。**
**职位描述**
在这个职位上，你将参与SoFi Invest产品组的合规管理计划的开发、实施和管理。你将为注册投资顾问SoFi Wealth提供主要的合规支持。该职位的主要目标是作为业务部门的可信赖顾问和合作伙伴，推动更广泛的Invest产品（包括SoFi Wealth）的增长，同时降低对SoFi企业的监管风险。你将参与各种委员会、审计和检查，并测试投资顾问和经纪交易商的流程和基础设施，这些流程和基础设施通过合规风险评估和年度审查的管理和维护来促进Invest活动。你将就新兴的合规问题、监管变化和新规则向合规和法律团队提供建议，并咨询和指导公司在建立控制措施以降低风险方面的工作。你将与业务伙伴合作，提供适当的知识、专业知识和商业敏锐度，以满足快速变化的监管环境日益增长的需求。
**你将负责：**
- 负责公司投资顾问合规项目的日常管理和持续发展
- 协助管理公司的经纪交易商合规项目
- 就FINRA和SEC规则适用于新产品和服务的适用性提供建议，包括人工智能在投资者体验中的整合
- 准备重大合规相关项目和文件，包括但不限于Web CRD文件、IARD文件、EDGAR文件、Form ADV、RR/IAR披露和
查看英文原文
[**Employee Applicant Privacy Notice**](https://www.sofi.com/sofi-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**
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
**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](https://sofietyinfo.sofi.com/sofi-benefits)** 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](https://dol.ny.gov/system/files/documents/2022/02/ls740_1.pdf)
##### SoFi 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 [accommodations@sofi.com.](mailto:accommodations@sofi.com)
##### We are unable to accommodate remote work from Hawaii, Alaska or Puerto Rico 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.