Assistant General Counsel, Invest
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Job Location:
San Francisco, CA - USA
Monthly Salary:
Not Disclosed
Posted on:
15 hours ago
Vacancies:
1 Vacancy
Job Summary
The role:
SoFi is seeking an attorney focused on its growing SoFi Invest business with flexibility to support other parts of the SoFi enterprise as needed.
What youll do:
Advise the business on matters pertaining to SoFis SEC-registered broker-dealer and investment advisor including the development launch and maintenance of products marketing disclosures and regulatory risk assessment and mitigation.
Provide legal guidance on securities law SEC regulations FINRA rules and applicable state securities laws.
Partner with business and compliance teams to implement controls and governance frameworks including policies procedures and supervisory processes.
Review draft and negotiate commercial agreements with vendors financial infrastructure and service providers supporting the SoFi Invest platform.
Stay abreast of legislative and regulatory developments affecting broker-dealers and investment advisors and advise on related business impacts.
Assist in the development of customer terms and disclosures.
Handle arbitrations brought by Invest customers.
Other assignments on an ad hoc basis.
What youll need:
You should be an intellectually curious self-starter with strong written and oral communication skills and sound judgment.
JD from an accredited law school and licensed to practice in at least one U.S. jurisdiction.
4 to 6 years of experience ideally at a major law firm or in-house legal department.
Experience with broker-dealer and investment adviser regulatory frameworks including the Securities Act the Exchange Act the Investment Advisers Act and FINRA rules.
Nice to have:
In-house counsel experience with a self-directed retail brokerage.
Required Experience:
Junior IC
Key Skills
- General Counsel
- Legal Case Management
- Legal Drafting
- Litigation
- Intellectual Property Law
- Legal Counsel
- Legal Research
- Securities Law
- Employment & Labor Law
- Real Estate Law
- negotiation
- Contracts
About Company
Why do 10M+ members trust SoFi? Financial solutions for school, marriage, starting a family, home buying, retirement, or whatever’s next. Member FDIC.
