Senior Invest Compliance Specialist
Senior Invest Compliance Specialist
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Salary Not Disclosed
1 Vacancy
Job Description
The role:
The Senior Compliance Specialist participates in the development implementation and administration of the Companys 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 Companys brokerage and investment advisory business with a focus on assisting the team in connection with regulatory inquiries and internal audits.
What youll 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 firms policies and procedures and suggest modifications to the same.
Drive solutions and lead initiatives that assist our members and enhance all aspects of SoFis 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 youll 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
Required Experience:
Senior IC
Employment Type
Full Time
