Be an early applicantLess than 25 applicants

Company

SoFi · 23 hours ago

Senior Compliance Manager, Invest

Wilmington, DE

Full-time

Remote

Senior Level, Lead/Staff

$128K/yr - $220K/yr

10+ years exp

Maximize your interview chances

Financial ServicesFinTech

H1B Sponsor Likely

Insider Connection @SoFi

Discover valuable connections within the company who might provide insights and potential referrals.
Get 3x more responses when you reach out via email instead of LinkedIn.

Responsibilities

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

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Management ExperienceBroker-Dealer Compliance ExperienceFINRA Series 7FINRA Series 24FINRA Gateway/CRD PortalSecurities Exchange Act KnowledgePeople Management ExperienceFINRA Series 4CRPC CertificationCAT Reporting KnowledgeCAIS Reporting KnowledgeSoftware Administration ExperienceVendor Procurement ExperienceVendor Risk Review ExperienceRegulatory Response ManagementProject Management Certification

Required

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

Preferred

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)

Company

SoFi

Glassdoor

3.6

SoFi is a finance company that offers a range of lending and wealth management services.

Founded in 2011

San Francisco, California, USA

1,001-5,000 employees

http://www.sofi.com

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

2023 (96)

2022 (121)

2021 (94)

2020 (41)