Assistant General Counsel, Invest

at SoFi

United States

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.

Compensation and Benefits

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.

To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page!

SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.

The Company hires the best qualified candidate for the job, without regard to protected characteristics.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

New York applicants: Notice of Employee Rights

SoFi is committed to an inclusive culture. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com.

Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.

Internal Employees

If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.