Compliance Testing Specialist, Invest

<div class="content-intro"><p><a href="https://www.sofi.com/sofi-employee-applicant-privacy-notice/" target="_blank"><strong>Employee Applicant Privacy Notice</strong></a></p> <p><strong>Who we are:</strong></p> <div> <p>Shape a brighter financial future with us.</p> <p>Together with our members, we’re changing the way people think about and interact with personal finance.</p> <p>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. <strong>Join us to invest in yourself, your career, and the financial world.</strong></p> </div></div><p><b><b>The role:</b></b></p><p><span>The Independent Compliance Testing (ICT) Program performs a key second line of defense role, to help ensure regulatory requirements are met across the applicable lines of business at SoFi. </span></p><p></p><p><span>The Compliance Testing Specialist in ICT will be responsible for executing risk-based compliance transaction, control, and outcomes-based testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable broker-dealer regulations, including but not limited to FINRA Rules and other regulations derived from the Investment Company Act of 1940 or Securities Exchange Act of 1934, as well as applicable state regulations of broker-dealers.</span></p><p></p><p><span>The Testing Compliance Specialist will report to the Regulatory Compliance Testing Team Lead, and the role may also require executing some testing in financial services subject matter areas other than those outlined above.</span></p><p></p><p><b><b>What you’ll do: </b></b></p><ul><li><p><span>Executing aforementioned testing in adherence to program methodology and procedures, under the leadership of a team leader.</span></p></li><li><p><span>Ensure all tasks and reporting are completed within established timeframes, in accordance with the program’s test plan.</span></p></li><li><p><span>Analyzing data from multiple sources and systematically documenting the work and results.</span></p></li><li><p><span>Identifying and classifying any test findings properly; managing and tracking those findings to ensure the business owner remediates the issue; and performing validation and sustainability review/testing to confirm that the finding has been fully addressed.</span></p></li><li><p><span>Establishing and maintaining strong working relationships with relevant Compliance Officers and Business Areas.</span></p></li></ul><p></p><p><b><b>What you’ll need:</b></b></p><ul><li><p><span>Bachelor’s degree </span></p></li><li><p><span>At least 5-8 years of compliance testing or auditing experience, specifically within financial services or a regulated banking institution</span></p></li><li><p><span>Solid regulatory subject matter expertise with trading/brokerage operations, investment management </span></p></li><li><p><span>Strong problem-solving, critical thinking, and communication skills</span></p></li></ul><p></p><p><b><b>Nice to have:</b></b></p><ul><li><p><span>Solid working knowledge of brokerage products (e.g., options and mutual funds) processes (e.g., order routing, consolidated audit trails) and investment advisor operations; and their applicable laws and regulations.</span></p></li></ul><div class="content-conclusion"><div class="gmail_default"><strong>Compensation and Benefits</strong></div> <div class="gmail_default">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. </div> <div class="gmail_default"> </div> <div class="gmail_default">To view all of our comprehens ... (truncated, view full listing at source)