- Analyze laws and regulations applicable to bank holding companies, national banks, broker-dealers and investment advisers, advise SoFi regarding the impact of proposed and new regulations, interact with regulators, and work with business counsel and compliance across multiple functional areas throughout SoFi
- Advise on all matters pertaining to broker-dealer supervision, including [safety & soundness] and regulatory compliance examinations, and preparing and communicating management responses to related reports of examinations, supervisory letters, etc.
- Advise on critical regulatory processes including the examination lifecycle, remediation and clearance of examination findings, and ad hoc regulatory requests
- Prepare and advise on formal responses to regulators, and meet and negotiate with regulators, as needed
- Prepare, file, track, and manage all regulatory applications and notices
- Research and evaluate broker-dealer and investment adviser laws and regulations, guidance, interpretive letters, opinions, etc. in the context of assessing risk factors regarding business decisions, operations, and prepare corporate policies and practices
- Advise business leaders on contracts relating to the SoFi Invest business. Research unique legal issues impacting SoFi by identifying applicable statutes, judicial decisions, and codes
- Keep abreast of legislative changes that may affect SoFi and its affiliates and the SoFi Invest product
- Assist on arbitration and litigation work and anticipate and mitigate potential legal problems within SoFi, and assist in the development of strategies to avoid costly litigation and reduce potential areas of risk
- Other assignments on an ad hoc basis
- You should be an intellectually curious self-starter with strong written and oral communication skills
- JD from an accredited law school
- Member of the applicable bar
- Minimum of 5 years financial services and regulatory experience
- Experience in broker-dealer and investment adviser regulatory laws, including (but not limited to) FINRA rules, the Investment Advisers Act of 1940, Regulation Best Interest, and U.S. securities laws applicable to broker-dealers and/or investment advisers
- Experience in the broker dealer and/or investment adviser regulatory practice of a major law firm, a major financial institution, or federal banking agency.
- Experience or willingness to learn U.S. bank regulatory law, including (but not limited to) the Bank Holding Company Act, the Federal Reserve Act and the National Bank Act, and regulations issued thereunder by the federal banking agencies
- Experience or willingness to learn intellectual property issues
- Familiarity with current regulatory and risk management topics in banking and financial services, including expertise in broker-dealer and/or investment adviser law, and ideally banking law, and risk management related matters and demonstrated knowledge of applicable regulations and supervisory expectations
- Handle arbitrations brought by Invest customers
- Experience with consumer financial services laws
- Prior in-house or law firm experience
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Senior Assistant General Counsel - Cottonwood Heights, United States - SoFi
Description
The role
will be focused on providing legal counsel to our fast growing SoFi Invest business and contract review and counsel on other general legal matters for other parts of the SoFi enterprise as required. The ideal candidate has a strong financial regulatory background, either from a federal regulatory agency, or as in-house counsel or outside counsel to a broker-dealer and/or investment adviser. Litigation experience and intellectual property experience is a plus.What you'll do:
What you'll need:
Nice to have:
