Backed by IVP.
About the role
Day-to-day responsibility for management and ongoing evolution of the firm's investment advisory compliance programs Assist in the management of the firm’s broker-dealer compliance programs
What they're looking for
- 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
- Degree from an accredited university strongly preferred
- Series 7, 24, 63 & 65 (or 66) licenses preferred
- Excellent verbal and written communication skills, must be able to effectively articulate regulatory risks and proposed mitigation strategies
- Ability to work in a fast-paced, changing environment
- Ability to analyze and interpret rules, regulations, and policies
More about this role
Shape a brighter financial future with us.
Together with our members, we’re changing the way people think about and interact with personal finance.
We’re a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we’re at the forefront. We’re proud to come to work every day knowing that what we do has a direct impact on people’s lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world.
The role
In this role, you will participate in the development, implementation and administration of the Compliance Management Program for the SoFi Invest product group. You will provide primary compliance coverage in support of the registered investment adviser, SoFi Wealth. The main objective of this role is to serve as a trusted adviser and partner to the business units responsible for driving the growth of the broader Invest product offerings (including SoFi Wealth), while mitigating regulatory risk to the SoFi enterprise. You will participate in various...
Browse similar: Startup jobs