Director of Compliance, Invest

About This RoleAI processing…

Key Responsibilities

• 1
  Day-to-day responsibility for management and ongoing evolution of the firm's investment advisory compliance programs
• 2
  Assist in the management of the firm’s broker-dealer compliance programs
• 3
  Advise on FINRA and SEC rule applicability to new and evolving products and services, including the integration of AI in the investor experience
• 4
  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.)
• 5
  Assisting with the development, maintenance, and documentation of WSPs, compliance manual, code of ethics, process workflows and standard operating procedures
• 6
  Assisting with the management of key business and Independent Risk Management (IRM) initiatives from a structural, functional, and organizational change management perspective
• 7
  Serve as liaison between the compliance team and the Business Units, corresponding regularly with upper management.
• 8
  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
• 9
  Degree from an accredited university strongly preferred
• 10
  Series 7, 24, 63 & 65 (or 66) licenses preferred
• 11
  Excellent verbal and written communication skills; must be able to effectively articulate regulatory risks and proposed mitigation strategies
• 12
  Ability to work in a fast-paced, changing environment
• 13
  Ability to analyze and interpret rules, regulations, and policies
• 14
  Superior organizational skills and attention to detail
• 15
  Outstanding ability to develop and foster cross-functional relationships with key stakeholders
• 16
  Desire to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations

Requirements

• 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
• Excellent verbal and written communication skills; must be able to effectively articulate regulatory risks and proposed mitigation strategies
• Experience with implementing AI solutions to enhance the investor experience preferred
• Experience in compliance monitoring, oversight, or assurance programs at financial institutions
• 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.
• If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com.
• 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.

Perks & Benefits