SoFi · 2 weeks ago
Compliance Testing Specialist, Invest
Frisco, TX
Full-time
Hybrid
Senior Level
$86K/yr - $162K/yr
5+ years expSoFi is a next-generation financial services company and national bank that focuses on changing the way people interact with personal finance. The Compliance Testing Specialist will execute risk-based compliance testing to ensure adherence to broker-dealer regulations and maintain strong relationships with Compliance Officers and Business Areas.
CreditCredit CardsFinancial ServicesFinTechLendingWealth Management
Responsibilities
Executing aforementioned testing in adherence to program methodology and procedures, under the leadership of a team leader
Ensure all tasks and reporting are completed within established timeframes, in accordance with the program’s test plan
Analyzing data from multiple sources and systematically documenting the work and results
Identifying and classifying any test findings properly; managing and tracking those findings to ensure the business owner remediates the issue; and performing validation and sustainability review/testing to confirm that the finding has been fully addressed
Establishing and maintaining strong working relationships with relevant Compliance Officers and Business Areas
Qualification
Required
Bachelor's degree
At least 5-8 years of compliance testing or auditing experience, specifically within financial services or a regulated banking institution
Solid regulatory subject matter expertise with trading/brokerage operations, investment management
Strong problem-solving, critical thinking, and communication skills
Preferred
Solid working knowledge of brokerage products (e.g., options and mutual funds) processes (e.g., order routing, consolidated audit trails) and investment advisor operations; and their applicable laws and regulations
Company
SoFi
SoFi is a finance company that offers a range of lending and wealth management services.
1001-5000 employees
H1B Sponsorship
SoFi has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (213)
2024 (117)
2023 (131)
2022 (118)
2021 (81)
2020 (42)
Funding
Current Stage
Public CompanyTotal Funding
$12.25BKey Investors
Fortress Investment GroupPGIMQatar Investment Authority
2025-12-04Post Ipo Equity· $1.5B
2025-07-29Post Ipo Equity· $1.5B
2025-04-17Post Ipo Debt· $3.2B
Leadership Team
Anthony Noto
CEO
Jeremy Rishel
Chief Technology Officer
Recent News
Business Wire
2026-01-16
The Motley Fool
2026-01-16
2026-01-16
Company data provided by crunchbase