Compliance Manager • Mid-Level

Who you are

You have a solid understanding of compliance frameworks and regulatory requirements, particularly in the financial services sector. Your experience includes executing compliance testing and validating adherence to regulations such as FINRA Rules and the Investment Company Act of 1940. You are detail-oriented and possess strong analytical skills, enabling you to assess compliance risks effectively. You thrive in a collaborative environment and are comfortable working under the guidance of a team leader while also taking initiative in your responsibilities. Your communication skills allow you to articulate compliance findings clearly to stakeholders, ensuring that all parties understand the implications of compliance testing results. You are committed to continuous learning and staying updated on regulatory changes that may impact compliance practices.

What you'll do

As a Compliance Testing Specialist at SoFi, you will be responsible for executing risk-based compliance transaction, control, and outcomes-based testing. You will work closely with the Regulatory Compliance Testing Team Lead to validate business line adherence to applicable broker-dealer regulations. Your role will involve analyzing compliance data, identifying potential risks, and recommending improvements to compliance processes. You will participate in the development of testing methodologies and contribute to the enhancement of the Independent Compliance Testing (ICT) Program. Additionally, you may be required to execute testing in other financial services subject matter areas, broadening your expertise and impact within the organization. You will collaborate with various teams to ensure that compliance testing aligns with business objectives and regulatory requirements, ultimately contributing to SoFi's mission of transforming personal finance.

What we offer

At SoFi, we offer a dynamic work environment where you can shape a brighter financial future alongside a team of dedicated professionals. We provide opportunities for career growth and development, ensuring that you can invest in yourself while making a meaningful impact in the financial world. Our culture emphasizes innovation and collaboration, allowing you to contribute your ideas and insights to drive positive change. We encourage you to apply even if your experience doesn't match every requirement, as we value diverse perspectives and backgrounds. Join us in our mission to help our members reach their financial goals and experience the satisfaction of making a difference in people's lives.