Director of Compliance, Invest

SoFi Technologies
Charlotte, San Francisco, New York
Workplace: OnsiteFull timeUSD 160,000 - 275,000 annuallyFunction: Legal, Risk & ComplianceExperience: 10-12 yearsSkills: ["Communication","Organizational skills","Attention to detail","Cross-functional relationship building","Fast-paced adaptability"]

Own and evolve the Compliance Management Program for the SoFi Invest product group, providing primary compliance coverage for SoFi Wealth. Serve as a trusted adviser to business units driving Invest growth, while mitigating regulatory risk across broker-dealer and investment adviser activities. Lead committees, audits, and examinations, conduct compliance risk assessments and annual reviews, and advise on FINRA/SEC rule applicability—including integration of AI into the investor experience.

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SoFi Technologies
SoFi Technologies
1 day ago

Director of Compliance, Invest

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Job Summary

Own and evolve the Compliance Management Program for the SoFi Invest product group, providing primary compliance coverage for SoFi Wealth. Serve as a trusted adviser to business units driving Invest growth, while mitigating regulatory risk across broker-dealer and investment adviser activities. Lead committees, audits, and examinations, conduct compliance risk assessments and annual reviews, and advise on FINRA/SEC rule applicability—including integration of AI into the investor experience.
Location: Charlotte, San Francisco, New York
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Director level

Key Responsibilities

  • •Manage and evolve the firm’s investment advisory compliance programs for the Invest product group.
  • •Manage broker-dealer compliance programs to support Invest activities.
  • •Advise on FINRA and SEC rule applicability for new and evolving products and services, including AI integration in the investor experience.
  • •Lead major compliance projects and filings (e.g., Web CRD, IARD, EDGAR, Form ADV, RR/IAR disclosures, and periodic reviews).
  • •Develop and maintain WSPs, compliance manual, code of ethics, process workflows, and standard operating procedures; serve as liaison with business units and upper management.

Pay and Benefits

Salary: USD 160,000 - 275,000 annually

Key Requirements

  • •10-12+ years of relevant financial services experience with a thorough understanding of securities markets and compliance obligations for SEC-registered investment advisers and FINRA-registered broker-dealers.
  • •Degree from an accredited university strongly preferred.
  • •Preferred Series 7, 24, 63 & 65 (or 66) licenses.
  • •Excellent verbal and written communication skills to articulate regulatory risks and mitigation strategies.
  • •Ability to analyze and interpret rules, regulations, and policies in a fast-paced, changing environment.
Experience:10-12 yearsFinancial servicesSecuritiesBroker-dealerInvestment adviserFINRASEC
Skills:CommunicationOrganizational skillsAttention to detailCross-functional relationship buildingFast-paced adaptability
Licenses:Series 7Series 24Series 63Series 65Series 66Series 4Series 52Series 53Series 79
Tech Stack:FINRASECWeb CRDIARDEDGARForm ADVWSPsBroker-dealerAI

Company Brief

SoFi Technologies
Provides digital financial services including lending, banking, investing, and credit products through a consumer-focused online platform. SoFi serves individuals looking to manage money, borrow, save, invest, and protect their finances in one place.
Industry: Neobanking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: San Francisco, United States
Founded: 2011
WebsiteLinkedIn