Compliance Testing Specialist, Invest
1 week ago
Employee Applicant Privacy Notice
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The Independent Compliance Testing (ICT) Program performs a key second line of defense role, to help ensure regulatory requirements are met across the applicable lines of business at SoFi.
The Compliance Testing Specialist in ICT will be responsible for executing risk-based compliance transaction, control, and outcomes-based testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable broker-dealer regulations , including but not limited to FINRA Rules, Reg BI, Reg S-P, and other regulations derived from the Investment Company Act of 1940 or Securities Exchange Act of 1934, as well as applicable state regulations of broker-dealers.
The Testing Compliance Specialist will report to the Regulatory Compliance Testing Team Lead, and the role may also require executing some testing in financial services subject matter areas other than those outlined above.
Key responsibilities will also include (but may not be limited to):
- 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.
Qualifications
- Bachelor's degree
- At least 5-8 years of compliance testing or auditing experience, specifically within financial services or a regulated banking institution
- 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.
- Strong problem-solving, critical thinking, and communication skills
Compensation and Benefits
The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location.
To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page
SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.
The Company hires the best qualified candidate for the job, without regard to protected characteristics.
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
New York applicants: Notice of Employee Rights
SoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email
Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.
Internal Employees
If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.
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