Your all-in-one personal finance platform
SoFi, headquartered in The East Cut, San Francisco, CA, is a leading provider of mobile and online personal finance services. With over 1,000 employees, SoFi offers a comprehensive suite of products including bank accounts, loans, mortgages, and investment opportunities. The company has raised $2.7 ...
SoFi provides a range of benefits including flexible time off, paid parental leave, and a monthly contribution of up to $200 towards student loan repa...
SoFi's culture is centered around financial empowerment, aiming to provide a one-stop solution for all personal finance needs. The company's focus on ...
SoFi • United States
SoFi is seeking an Assistant General Counsel focused on its SoFi Invest business. You'll provide legal guidance on securities law, SEC regulations, and partner with teams to implement governance frameworks. This role requires expertise in regulatory compliance and legal advisory.
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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:
SoFi is seeking an attorney focused on its growing SoFi Invest business, with flexibility to support other parts of the SoFi enterprise as needed.
What you’ll do:
Advise the business on matters pertaining to SoFi’s SEC-registered broker-dealer and investment advisor, including the development, launch, and maintenance of products, marketing, disclosures and regulatory risk assessment and mitigation.
Provide legal guidance on securities law, SEC regulations, FINRA rules and applicable state securities laws.
Partner with business and compliance teams to implement controls and governance frameworks, including policies, procedures, and supervisory processes.
Review, draft and negotiate commercial agreements with vendors, financial infrastructure and service providers supporting the SoFi Invest platform.
Stay abreast of legislative and regulatory developments affecting broker-dealers and investment advisors, and advise on related business impacts.
Assist in the development of customer terms and disclosures.
Handle arbitrations brought by Invest customers.
Other assignments on an ad hoc basis.
What you’ll need:
You should be an intellectually curious self-starter with strong written and oral communication skills and sound judgment.
JD from an accredited law school and licensed to practice in at least one U.S. jurisdiction.
4 to 6 years of experience, ideally at a major law firm or in-house legal department.
Experience with broker-dealer and investment adviser regulatory frameworks, including the Securities Act, the Exchange Act, the Investment Advisers Act and FINRA rules.
Nice to have:
In-house counsel experience with a self-directed retail brokerage.
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