Senior Director, Head of Product Compliance

2 months ago

New York, New York, United States SoFi Full time

Employee Applicant Privacy Notice
Who we are:
Shape a brighter financial future with us.
Together with our members, we're changing the way people think about and interact with personal finance.
We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world.
The role:
Reporting into the Enterprise Chief Compliance Officer, this role will manage a team of Compliance Officers supporting all Financial Service products at SoFi Technologies.
What you'll do:

  • Serve as subject matter expert on Bank financial services compliance related topics by maintaining industry insights and timely review of related industry alerts and environment to help determine applicability and risk to the organization.
  • Lead the effort to critically challenge the status quo, identifying existing practices that may be sub current expectations particularly with regard to error tolerance, technology sufficiency and potential for Member harm.
  • Engage across the three lines of defense to establish effective and collaborative relationships and feedback loops to identify and address root causes of concern. Maintain effective communication with business leaders and process owners so that all personnel are informed regarding compliance requirements and work together to mitigate compliance risk exposure and participate in corrective action when required.
  • Project planning and management including implementing regulatory change events.
  • Enhance reporting to the Compliance Committee on the status of regulatory compliance, including the details of any identified compliance issues and the corrective action taken.
  • Establish and maintain consistent and documented routines for Compliance Officers in the conduct of their oversight responsibilities.
  • Serve as people leader in supporting and recruiting a team of direct reports. Provide guidance and coaching in developing the team's skills and knowledge of SoFi Bank's compliance management program.
  • Champion a corporate culture in which all personnel view regulatory compliance as aligned with the Company's purpose and values and is regarded as a key objective in business decisions and process development/implementation.
  • Ensure compliance risk controls exist in accordance with regulatory standards and best practices throughout client build and implementation phases and through ongoing risk assessments and control monitoring, as needed.
  • Possess a working knowledge of Bank regulatory requirements and remain aware of the economic environment and business best practices that will affect the Company's strategic plans.
  • Liaise with external parties to include partner banks, clients, examiners, internal and external auditors, and outside consulting firms regarding the Company's compliance function.
  • Anticipate and resolve factors that impact SoFi Technologies strategies and its position in the marketplace by developing innovative solutions.

What you'll need:

  • 15+ years of experience and knowledge in large banking organizations including expertise in applicable banking laws/regulations/guidance regulations, and working knowledge in BSA/AML/OFAC and privacy.
  • Experience in developing and motivating teams under pressure.
  • Strong work ethic, highest integrity, and a can-do positive attitude.
  • Demonstrate experience in audit or compliance-related fields, including a working knowledge of appropriate risk management techniques as well as a strong understanding of audit processes and internal controls.
  • Ability to analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns.
  • Ability to quickly navigate through a complex organization
  • Superior oral and written communication skills
  • Comfortable making presentations to executives, groups of professionals, and external stakeholders with the ability to articulate complex problems and solutions through concise and clear messaging
  • The ability to influence and effectively challenge
  • Creative thinking who can map out creative solutions and lead their implementation
  • Strong project management skills with the ability to prioritize multiple demands
  • Possess strong business acumen and judgment plus the ability to communicate key issues to all levels
  • Self-motivated and self-directed with a 'hands-on' leadership style to lead change
  • Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
  • Effective negotiation skills, a proactive and "no surprises" approach in communicating issues, and strength in sustaining independent views

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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