Director of Compliance, Invest

About the role

You will own the end-to-end compliance strategy for the SoFi Invest product group, translating complex regulatory expectations into practical business controls. This role requires you to shape a brighter financial future for members by ensuring that compliance enables responsible growth rather than obstructing it. You will act as a trusted adviser to SoFi Wealth and the broader Invest ecosystem, embedding compliance thinking into product decisions from day one. Together with the business, you will change how people interact with investment services by maintaining rigorous standards in a mobile-first environment. You will safeguard the enterprise against regulatory risk while actively supporting innovation that benefits members. The position demands a partnership mindset where you advise, challenge, and guide stakeholders with equal parts expertise and diplomacy. You will bring structure to emerging compliance issues, helping the company navigate the evolving financial services landscape with integrity and clarity.

Key facts

What you'll do

• Provide day-to-day ownership of the firm's investment advisory compliance programs, ensuring policies, procedures, and risk controls remain current and effective.
• Extend your oversight to the firm's broker-dealer compliance programs, coordinating activities across investment advisory and brokerage operations.
• Analyze and advise on the applicability of FINRA and SEC rules to new and evolving products and services, including the integration of artificial intelligence in the investor experience.
• Prepare major compliance-related projects and filings, covering Web CRD submissions, IARD updates, EDGAR disclosures, Form ADV, RR/IAR filings, and all periodic reviews such as 4530, 3210, and 206(4)-7.
• Develop, maintain, and document written supervision plans, compliance manuals, codes of ethics, process workflows, and standard operating procedures to support scalable governance.
• Lead or support structural, functional, and organizational change management initiatives under the Independent Risk Management framework.
• Act as a primary liaison between the compliance team and business units, maintaining regular communication with upper management to align on risk appetite and regulatory expectations.
• Monitor regulatory developments and emerging compliance issues, translating complex rules into actionable guidance for product, legal, and operations teams.
• Coordinate audits and examinations, ensuring timely responses to information requests and effective remediation of identified findings.
• Test and validate compliance infrastructure and controls related to the investment adviser and broker-dealer functions that facilitate Invest activities.
• Maintain the Compliance Risk Assessment and Annual Review schedules, ensuring consistency, completeness, and alignment with regulatory expectations.
• Provide strategic consulting to the Compliance and Legal teams on new rules, policy interpretations, and control design for upcoming product launches.
• Support the governance of key business initiatives by supplying compliance expertise, risk assessments, and mitigation recommendations at appropriate stages.
• Promote a culture of compliance across Invest by educating stakeholders and reinforcing the importance of controls in protecting members and the firm.

Requirements

• Bring 10-12+ years of relevant work experience in financial services, demonstrating a thorough understanding of securities markets and the compliance obligations of SEC Registered Investment Advisors and FINRA registered Broker Dealers.
• Hold a degree from an accredited university, which is strongly preferred for this position.
• Possess active Series 7, Series 24, Series 63, and Series 65 (or Series 66) licenses, as these credentials are preferred and essential for performing core duties.
• Exhibit excellent verbal and written communication skills, with the ability to clearly articulate regulatory risks and proposed mitigation strategies to both technical and non-technical audiences.
• Thrive in a fast-paced, dynamic environment where priorities shift quickly and adaptability is essential.
• Demonstrate strong analytical capabilities to interpret rules, regulations, and policies, translating them into practical controls and procedures.
• Show judgment and independence when evaluating compliance risks and recommending controls without direct supervision.
• Maintain a high standard of professionalism, discretion, and integrity when handling sensitive regulatory and member information.
• Collaborate effectively with cross-functional teams, including Legal, Product, Engineering, and Risk Management, to advance shared objectives.
• Commit to following established policies, procedures, and regulatory frameworks with consistency and attention to detail.
• Be prepared to support on-call or extended hours during audits, examinations, or critical business initiatives as required by the role.
• Align with SoFi's culture and values, showing accountability, curiosity, and a drive to improve processes continuously.
• Meet all regulatory registration and licensing requirements as dictated by the jurisdictions in which SoFi operates.
• Be willing to undergo background checks and provide professional references as part of the hiring process.

Nice to have

• Prior experience working directly with SEC Registered Investment Advisers and FINRA registered Broker Dealers in a compliance capacity.
• Familiarity with the design and testing of compliance controls for investment advisory and brokerage products.
• Knowledge of current FINRA and SEC enforcement trends relevant to digital investment platforms.
• Experience supporting Web CRD, IARD, and EDGAR filing processes within a regulated environment.
• Exposure to the development and deployment of AI-driven features in financial services products.
• Understanding of risk-based monitoring techniques and independent testing methodologies.
• Background in change management or organizational development within a regulated financial services environment.

Practical notes

• Employment in the United States is required for this role.
• The position may require participation in audits, examinations, and regulatory events that extend beyond standard business hours.
• Travel may be required between offices or to regulatory meetings as necessary.
• This role is subject to regulatory licensing requirements, and candidates must be eligible for the relevant registrations.
• Candidates must be able to pass background checks and meet SoFi's employment eligibility criteria.
• No additional locations or remote options are specified outside the United States in this listing.