Compliance Specialist

Compliance Healdsburg, California Cottonwood Heights, Utah


Job Summary
This position will play a key role in State and Federal exam management for all business lines within SoFi and support the Remediation Program. Our new Compliance Specialist will work with all of SoFi's business units on remedial efforts as needed and will also support all applicable Compliance staff in project management for exam requests for information. This requires working with Compliance and each business unit to obtain, review and package information for exams.

About SoFi
At SoFi, you'll become part of a new kind of finance company whose ambition is to help our members achieve financial independence and reach their ambitions. We aim to be at the center of our members' financial lives, and to help every member get their money right. We created student loan refinancing, addressing the biggest financial challenge of a new generation through a modern approach to lending and personal finance. Next we expanded our products and services across loans, wealth management, and insurance. SoFi Money--a modern take on a checking or savings account--is our newest innovation and disruption to the financial services industry. SoFi has achieved significant growth, with ambitious plans ahead, but to continue this growth we need great talent. And that starts with you.

Essential Functions & Responsibilities

  • Project management of state and federal exams for company
  • Partner with the Compliance team and the Business Units to request and organize requested materials for exams
  • Assist in managing remediation findings identified through monitoring and other sources
  • Support Compliance Officers in managing the remediation tracking and reporting
  • Perform quality assurance on audit packages and ensure we meet examination requests
  • Maintain Compliance presentations for investor due diligence
  • Ad-hoc duties to support the Compliance department


  • 2-4 years of experience, ideally at a financial or lending institution.
  • Detailed and robust knowledge of SoFi products, processes and systems is a plus.
  • Basic knowledge of lending and deposit regulations and their applicability to SoFi products.
  • Self-starter with proven ability to work independently and strong attention to detail
  • Motivation to learn and consistently improve processes and tools
  • Professional demeanor and the ability to interact with business owners and (occasionally) regulatory examiners
  • Strong MS Office skills, particularly Excel, required. Ability to utilize Excel formulas or basic coding a plus
  • Intermediate skill with Google Drive and dashboard reporting
  • Advanced computer skills, typing skills and accuracy.
  • Strong written and verbal communication skills
  • Excellent organizational skills


  • Competitive salary packages and bonuses.
  • Comprehensive medical, dental, vision and life insurance as well as disability benefits.
  • 100% of medical, vision, and dental premiums paid by SoFI for employees and their dependents.
  • Generous vacation and holidays
  • 401(k) and education on retirement planning.
  • Tuition reimbursement on approved programs, up to $5,250 a year.
  • Monthly contribution to help you pay off your student loans.
  • Employer paid lunch program and subsidized gym membership.
  • Fully stocked kitchen (snacks & drinks)

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