Senior Compliance Manager, Invest

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The role:
The SoFi Senior Invest Compliance Manager will be responsible for the oversight of the broker-dealer core compliance team. This position will report to the Chief Compliance Officer for SoFi Invest. The Compliance Manager will ensure that the core broker-dealer compliance responsibilities outlined below are executed as dictated by the firm's applicable policies, written supervisory procedures and operating procedures.
What you'll do:
The SoFi Invest compliance team encompasses all of the routine compliance responsibilities of the broker-dealer, which includes:

• Personnel Management
• Licensing and Registration of Broker-Dealer Personnel
• Regulatory Audits and Reporting (Form B-D, U-4/U-5, FINRA Gateway/CRD portal, etc.)
• Administration of SoFi's Trade and Communications Surveillance Program
• Administration of Firm Element Continuing Education Requirements
• Oversight of Communication Reviews
• Compliance Advisory Responsibilities
• Branch Office Inspections (Domestic and International)
• Customer Complaint Escalation Management and Reporting
• Compliance Tool Procurement, Administration, and Third Party Vendor Management

The team manager will be responsible for ensuring that the team's collective responsibilities are being met, and to drive efficiencies through technology wherever possible. This role will also require some traveling to attend branch inspections, team offsites, conferences, etc.
What you'll need:
A successful candidate for this position will have 5+ years of management experience and 10+ years in the broker-dealer compliance space.
This role is in a dynamic environment in a fast growing business. General knowledge of retail brokerage operations, regulations, and industry best practices will be critical for success in this role. A keen attention to detail, strong organizational skills, and analytical skills will be a must for this position. Additionally, strong communication skills are required for conveying regulatory specific information to cross-business partners.
Required for this Role:

• 5+ Years of Management Experience
• 10+ Years of Broker-Dealer Compliance Experience
• Bachelor's Degree or Higher Level Education
• FINRA Series 7
• FINRA Series 24
• People Management Experience
• Experience with the FINRA Gateway/CRD Portal
• Working Knowledge of The Securities Exchange Act of 1933 and 1934

Nice to have:
In addition to the above mentioned requirements, a standout candidate will also have the following experience:
Preferred Experience Includes:

• FINRA Series 4 (must obtain within 6 months of hire)
• CRPC Certification
• Working knowledge of CAT and CAIS reporting
• Software Administration Experience
• Vendor Procurement and Vendor Risk Review Experience
• Regulatory Response Management Experience
• Project Management Certification(s)

Compensation and Benefits
The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location.
To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page!
SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.
The Company hires the best qualified candidate for the job, without regard to protected characteristics.
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
New York applicants: Notice of Employee Rights
SoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email [email protected].
Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.
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.