About The Position
SoFi is seeking an attorney focused on its growing SoFi Invest business, with flexibility to support other parts of the SoFi enterprise as needed.
Requirements
- 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 Haves
- In-house counsel experience with a self-directed retail brokerage.
Responsibilities
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
Number of Employees
1,001-5,000 employees
