SoFi · 13 hours ago
Assistant General Counsel, Invest
Seattle, WA
Full-time
Hybrid
Mid, Senior Level
$154K/yr - $288K/yr
4+ years expSoFi is a next-generation financial services company and national bank that is transforming personal finance. They are seeking an attorney to advise on matters related to SoFi's SEC-registered broker-dealer and investment advisor, including product development, regulatory compliance, and legal guidance on securities law.
CreditCredit CardsFinancial ServicesFinTechLendingWealth Management
Responsibilities
Advise the business on matters pertaining to SoFi’s SEC-registered broker-dealer and investment advisor, including the development, launch, and maintenance of products, marketing, disclosures and regulatory risk assessment and mitigation
Provide legal guidance on securities law, SEC regulations, FINRA rules and applicable state securities laws
Partner with business and compliance teams to implement controls and governance frameworks, including policies, procedures, and supervisory processes
Review, draft and negotiate commercial agreements with vendors, financial infrastructure and service providers supporting the SoFi Invest platform
Stay abreast of legislative and regulatory developments affecting broker-dealers and investment advisors, and advise on related business impacts
Assist in the development of customer terms and disclosures
Handle arbitrations brought by Invest customers
Other assignments on an ad hoc basis
Qualification
Required
JD from an accredited law school and licensed to practice in at least one U.S. jurisdiction
4 to 6 years of experience, ideally at a major law firm or in-house legal department
Experience with broker-dealer and investment adviser regulatory frameworks, including the Securities Act, the Exchange Act, the Investment Advisers Act and FINRA rules
You should be an intellectually curious self-starter with strong written and oral communication skills and sound judgment
Preferred
In-house counsel experience with a self-directed retail brokerage
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 (157)
2024 (121)
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
The Motley Fool
2025-12-26
2025-12-24
2025-12-24
Company data provided by crunchbase