Employee Applicant Privacy Notice
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.
Top Skills
SoFi New York, New York, USA Office
Our New York office, located in the meat-packing district, provides an open work environment and is a hub for our finance teams. Our large conference, flexible work spaces, huddle rooms, and shared community areas allows our teams to openly collaborate while looking at some spectacular views.
Similar Jobs at SoFi
What you need to know about the NYC Tech Scene
Key Facts About NYC Tech
- Number of Tech Workers: 549,200; 6% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Capgemini, Bloomberg, IBM, Spotify
- Key Industries: Artificial intelligence, Fintech
- Funding Landscape: $25.5 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Greycroft, Thrive Capital, Union Square Ventures, FirstMark Capital, Tiger Global Management, Tribeca Venture Partners, Insight Partners, Two Sigma Ventures
- Research Centers and Universities: Columbia University, New York University, Fordham University, CUNY, AI Now Institute, Flatiron Institute, C.N. Yang Institute for Theoretical Physics, NASA Space Radiation Laboratory
