Senior Manager, Regulatory Compliance

6 days ago

Helena, Montana, United States Social Finance Ltd Full time
Job Title: Senior Manager, Regulatory Relations

Shape a brighter financial future with us.

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.

The Role:

The Regulatory Relations team is responsible for the management and oversight of the firm's supervisory activities and interactions with regulators.

The Senior Manager will serve as a key point of contact between SoFi's regulators and business units and provide strategic and tactical management of SoFi's regulatory relationships by promoting clear and consistent internal and external communication, monitoring the larger regulatory landscape, identifying emerging issues, and supporting management in making strategic decisions that have regulatory significance.

This position involves significant engagement with senior leadership at SoFi and plays an important role in ensuring that SoFi proactively responds to the changing regulatory landscape and delivers on commitments to our regulators in a timely manner.

Key Responsibilities:
  1. Managing SoFi's regulatory relationships, including coordinating the day-to-day interactions with SoFi's regulators and overseeing all aspects of regulatory examinations
  2. Coordinating and responding to regulatory requests for documentation and information, and providing effective review and challenge on the responsive documentation and related submissions
  3. Conducting analyses of relevant regulations and providing advice to internal stakeholders regarding the potential regulatory risk
  4. Preparing senior leadership and stakeholders for interviews and meetings with examiners, including drafting of briefing materials and presentations
  5. Communicating with key stakeholders, including senior management, regarding exam status and potential findings
  6. Communicating with regulators regarding document requests, areas of review and potential findings
  7. Preparing related Board/Management reporting summarizing the Firm's supervisory activity
  8. Drafting the Firm's formal responses to regulatory findings and assisting in the coordination, monitoring and reporting of any remediation
  9. Monitoring and reporting on supervisory developments impacting SoFi
Requirements:
  • BA/BS Degree or equivalent combination of education and experience
  • 8+ years experience working in legal, compliance, audit or other governance functions; and/or direct experience dealing with external regulators and responding to regulatory requests
  • Superior organization and project management skills, attention to detail, and excellent written and verbal communication skills
  • Deep understanding of bank regulations, policy and supervision and familiarity with current regulatory and risk management topics in banking and financial services
  • Demonstrated experience in building relationships, including interactions with business line staff, senior management and external stakeholders
  • Keen attention to detail and ability to quickly grasp key concepts, be flexible and quickly manage change in priorities
  • Ability to work in a fast-paced environment and consistently meet deadlines
  • Strong problem-solving and research capabilities
  • Collaborative and positive mindset; team-first mentality
Nice to Have:
  • JD preferred
  • Relevant experience working at a regulatory agency, and/or significant experience in the financial services industry, or management consulting firm, in a legal, regulatory or audit capacity

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