Legal Counsel • Mid-Level

Who you are

You are an attorney with a strong background in securities law and regulatory compliance, particularly in the context of broker-dealers and investment advisors. You have experience advising businesses on legal matters related to product development, marketing, and risk assessment. Your ability to navigate complex regulatory environments makes you a valuable asset to any financial services organization.

You possess a deep understanding of SEC regulations and FINRA rules, and you stay updated on legislative developments affecting the financial industry. Your collaborative nature allows you to work effectively with business and compliance teams, ensuring that legal considerations are integrated into operational processes. You are detail-oriented and skilled in drafting and negotiating commercial agreements, which is essential for supporting the SoFi Invest platform.

Desirable

Experience in a financial services company or a law firm specializing in securities law is a plus. Familiarity with the operational aspects of broker-dealers and investment advisors will enhance your ability to contribute to the team.

What you'll do

In this role, you will advise SoFi's Invest business on various legal matters, ensuring compliance with SEC regulations and state securities laws. You will provide legal guidance during the development, launch, and maintenance of investment products, helping to mitigate regulatory risks. Your responsibilities will include reviewing and drafting commercial agreements with vendors and service providers that support the SoFi Invest platform.

You will partner with business and compliance teams to implement effective controls and governance frameworks, including policies and procedures that align with regulatory requirements. Your role will also involve staying abreast of changes in legislation and regulations that may impact the broker-dealer and investment advisor landscape, allowing you to proactively address potential legal challenges.

You will play a key role in shaping the legal strategy for SoFi Invest, ensuring that the business operates within the legal framework while pursuing its growth objectives. Your expertise will help the company navigate the complexities of the financial services industry, ultimately contributing to the success of SoFi's mission to transform personal finance.

What we offer

At SoFi, you will be part of a dynamic team that is dedicated to reshaping the financial landscape. We offer competitive compensation and benefits, along with opportunities for professional growth and development. You will work in an environment that values innovation and collaboration, where your contributions will have a direct impact on the lives of our members. Join us in our mission to help people achieve their financial goals and shape a brighter financial future.