📌 Core Information
🔹 Job Title: Staff Compliance Advisor, Marketing
🔹 Company: SoFi
🔹 Location: United States
🔹 Job Type: Full-Time
🔹 Category: Financial Services
🔹 Date Posted: April 14, 2025
🔹 Experience Level: 10+ years
🔹 Remote Status: On-site
🚀 Job Overview
Key aspects of this role include:
- Reviewing and approving marketing communications for regulatory adherence
- Providing compliance support to various business units
- Tracking marketing claims and disclosures
- Driving research on regulatory risks and communicating recommended actions
- Developing and maintaining policies, procedures, and training materials
ASSUMPTION: This role requires a high level of attention to detail and the ability to thrive in a fast-paced environment, as the Compliance Advisor, Marketing will be working with tight deadlines and managing multiple priorities.
📋 Key Responsibilities
✅ Review marketing assets submitted by the Marketing team, occasionally after hours and on weekends
✅ Provide day-to-day marketing compliance support to various business units and act as the key point-of-contact between Compliance and the Marketing organization for escalations
✅ Own and drive the research of regulatory risks, document analysis, and communicate recommended or required action to the impacted business teams
✅ Track marketing claims and maintain associated disclosures and substantiation through the firm’s marketing workflow system
✅ Drive the development and maintenance of SoFi’s policies, procedures, and regulatory compliance training material
✅ Monitor changes in applicable laws, regulations, and industry standards
✅ Assist with audit and exam responses related to the marketing review process
✅ Other duties as assigned
ASSUMPTION: The successful candidate will have a strong understanding of FINRA and SEC regulatory requirements that apply to advertising and marketing, including FINRA Rules 2210, 3110, 4511, Investment Adviser Marketing, and Investment Company Marketing.
🎯 Required Qualifications
Education: A degree from an accredited university or significant relevant experience demonstrating your understanding of marketing compliance in the financial sector
Experience: 8+ years of relevant work experience in financial services, with a preferred background in legal, compliance, marketing, or a related field
Required Skills:
- FINRA Series 7 and 24 licenses
- Keen attention to detail
- Poise under pressure and ability to triage and prioritize competing priorities
- Expertise in developing and fostering cross-functional relationships with key stakeholders to collaborate effectively
- Articulation of complex opinions and requirements in a simple and understandable way
- Talent for developing practical, creative solutions that meet business needs while remaining compliant with laws and regulations
- Flexibility to occasionally work outside of business hours as needs arise
Preferred Skills:
- Series 4, 65/66
- Experience with G Suite
- Knowledge of RNDIP
- Working understanding of general banking regulations
ASSUMPTION: While not explicitly stated, it is assumed that the candidate should have a strong understanding of the financial industry and relevant regulations to effectively perform the required responsibilities.
💰 Compensation & Benefits
Salary Range: The base pay range for this role is not explicitly stated, but based on industry standards for a similar role in the financial sector, the estimated salary range is $120,000 - $180,000 per year. Final base pay offer will be determined based on individual factors such as the candidate’s experience, skills, and location.
Benefits:
- Comprehensive and competitive benefits package, including health, dental, and vision insurance
- 401(k) retirement plan with employer match
- Employee Stock Purchase Plan (ESPP)
- Generous paid time off and flexible work arrangements
- Tuition reimbursement and professional development opportunities
- And more, as listed on the Benefits at SoFi page
Working Hours: Full-time position with standard business hours, but may require occasional work outside of business hours as needs arise
ASSUMPTION: The salary range provided is an estimate based on industry standards and may vary depending on the candidate’s experience, skills, and location. The benefits package is comprehensive and competitive, as stated on the SoFi careers page.
📌 Applicant Insights
🔍 Company Context
Industry: SoFi operates in the financial services industry, focusing on personal finance, student loans, mortgages, and wealth management. The company is known for its innovative, mobile-first technology and commitment to helping its members achieve financial independence.
Company Size: SoFi has 1,001-5,000 employees, which means there are ample opportunities for career growth and collaboration with diverse teams. However, the company is large enough to have established processes and resources to support its employees.
Founded: SoFi was founded in 2011 and has since grown to become a leading provider of financial services, with a strong focus on technology and innovation.
Company Description:
- SoFi is a values-driven company on a mission to help its members get their money right
- The company creates modern financial products and services that help people borrow, save, spend, invest, and protect their money better
- SoFi is committed to embracing diversity and offers reasonable accommodations to candidates with physical or mental disabilities
Company Specialties:
- Refinancing Student Loans
- Student Loan Consolidation
- Mortgages
- Mortgage Refinancing
- Personal Loans
- MBA Loans
- Wealth Management
- Life Insurance
- Career Strategy
- and personal finance
Company Website: SoFi.com
ASSUMPTION: SoFi is a well-established company in the financial services industry, with a strong focus on technology and innovation. The company is committed to helping its members achieve financial independence and offers a comprehensive and competitive benefits package.
📊 Role Analysis
Career Level: This role is at the senior level, requiring a significant amount of experience and expertise in marketing compliance within the financial sector.
Reporting Structure: The Compliance Advisor, Marketing will report directly to a principal in Invest Compliance and have a matrix reporting line into the Manager of the Communications With the Public (CWP) team.
Work Arrangement: This is an on-site role, with occasional work outside of business hours as needs arise. The role may require flexibility to work after hours and on weekends to review marketing assets submitted by the Marketing team.
Growth Opportunities:
- As SoFi continues to grow and expand its offerings, there may be opportunities for the Compliance Advisor, Marketing to take on additional responsibilities or move into a management role
- The company encourages internal mobility and offers professional development opportunities to support employee growth
- SoFi's commitment to embracing diversity and offering reasonable accommodations to candidates with physical or mental disabilities creates an inclusive work environment that supports the success of all employees
ASSUMPTION: The Compliance Advisor, Marketing role offers significant opportunities for career growth and professional development within SoFi's expanding organization.
🌍 Location & Work Environment
Office Type: SoFi has multiple office locations across the United States, with a headquarters in San Francisco, California. The company offers a modern, collaborative work environment with state-of-the-art technology and amenities to support its employees.
Office Location(s): SoFi has offices in San Francisco, California; Healdsburg, California; Helena, Montana; New York, New York; Reston, Virginia; Cottonwood Heights, Utah; and Claymont, Delaware. The specific office location for this role is not specified.
Geographic Context:
- The United States has a diverse and dynamic financial services industry, with a wide range of opportunities for career growth and development
- The specific geographic location of this role may impact the salary range and benefits package, as well as the cost of living and local regulations
- SoFi's multiple office locations allow for flexibility in hiring and offer opportunities for employees to work in different regions of the country
Work Schedule: This is a full-time role with standard business hours, but may require occasional work outside of business hours as needs arise. The role may require flexibility to work after hours and on weekends to review marketing assets submitted by the Marketing team.
ASSUMPTION: The specific office location for this role may impact the salary range and benefits package, as well as the cost of living and local regulations. The company offers a modern, collaborative work environment with state-of-the-art technology and amenities to support its employees.
💼 Interview & Application Insights
Typical Process:
- The application process for this role is not explicitly stated, but it is likely to involve an initial screening, followed by one or more interviews with members of the Compliance and Marketing teams
- The interview process may include behavioral questions to assess the candidate's problem-solving skills, attention to detail, and ability to work effectively in a fast-paced environment
- The final stage of the interview process may involve a presentation or case study to evaluate the candidate's communication and analytical skills
Key Assessment Areas:
- Regulatory knowledge and expertise in marketing compliance within the financial sector
- Attention to detail and ability to work effectively in a fast-paced environment
- Communication and interpersonal skills to collaborate effectively with cross-functional teams
- Problem-solving skills and ability to develop practical, creative solutions that meet business needs while remaining compliant with laws and regulations
Application Tips:
- Highlight relevant experience in marketing compliance within the financial sector, with a focus on FINRA and SEC regulatory requirements
- Tailor your resume and cover letter to emphasize your relevant skills and experience for this role
- Prepare for behavioral and situational interview questions that assess your problem-solving skills, attention to detail, and ability to work effectively in a fast-paced environment
- Research SoFi's company culture and values to demonstrate your fit for the organization
ATS Keywords: Marketing compliance, FINRA, SEC, regulatory adherence, attention to detail, cross-functional collaboration, communication, problem-solving, research, policy development, audit response, time management, flexibility
ASSUMPTION: The application process for this role is likely to involve an initial screening, followed by one or more interviews with members of the Compliance and Marketing teams. The interview process may include behavioral questions to assess the candidate's problem-solving skills, attention to detail, and ability to work effectively in a fast-paced environment.
🛠️ Tools & Technologies
- G Suite (Google Workspace) for collaboration and productivity
- Marketing workflow system for tracking marketing claims and disclosures
- Various regulatory compliance tools and resources
ASSUMPTION: The specific tools and technologies used by SoFi may vary depending on the role and team, but the company is known for its commitment to technology and innovation in the financial services industry.
👔 Cultural Fit Considerations
Company Values:
- Put customers first
- Act with integrity
- Be transparent
- Think like an owner
- Strive for excellence
- Embrace diversity
- Work together
- Be an expert
- Be resourceful
- Be a good steward
Work Style:
- Collaborative and cross-functional, with a focus on effective communication and teamwork
- Fast-paced and dynamic, with a focus on meeting tight deadlines and managing multiple priorities
- Inclusive and supportive, with a commitment to embracing diversity and offering reasonable accommodations to candidates with physical or mental disabilities
- Data-driven and analytical, with a focus on using data and insights to inform decision-making
Self-Assessment Questions:
- Do you have a strong understanding of FINRA and SEC regulatory requirements that apply to advertising and marketing within the financial sector?
- Are you comfortable working in a fast-paced, dynamic environment with tight deadlines and multiple priorities?
- Do you have strong communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams?
- Are you comfortable working with data and using it to inform decision-making?
- Do you share SoFi's commitment to embracing diversity and acting with integrity?
ASSUMPTION: SoFi is a values-driven company with a strong commitment to its customers, employees, and the broader community. The company's values and work style are designed to support its mission to help its members get their money right and achieve financial independence.
⚠️ Potential Challenges
- The fast-paced, dynamic nature of the role may present challenges in managing multiple priorities and meeting tight deadlines
- The role may require occasional work outside of business hours to review marketing assets submitted by the Marketing team
- The regulatory environment in the financial services industry is complex and subject to change, which may present challenges in staying up-to-date with relevant laws, regulations, and industry standards
- The role may require the Compliance Advisor, Marketing to work with a wide range of stakeholders, including members of the Compliance, Marketing, and other business teams, which may present challenges in effective communication and collaboration
- The specific geographic location of the role may impact the salary range and benefits package, as well as the cost of living and local regulations
ASSUMPTION: The Compliance Advisor, Marketing role presents a unique set of challenges and opportunities, with a focus on regulatory compliance, effective communication, and collaboration with cross-functional teams.
📈 Similar Roles Comparison
- This role is similar to other Compliance Advisor or Marketing Compliance roles in the financial services industry, but may differ in terms of the specific regulatory requirements and industry focus
- The role may require a higher level of expertise in FINRA and SEC regulatory requirements than similar roles in other industries
- The role may offer opportunities for career growth and professional development within SoFi's expanding organization, with a focus on internal mobility and professional development opportunities
ASSUMPTION: The Compliance Advisor, Marketing role is similar to other Compliance Advisor or Marketing Compliance roles in the financial services industry, but may differ in terms of the specific regulatory requirements and industry focus.
📝 Sample Projects
- Reviewing and approving marketing communications for regulatory adherence, with a focus on FINRA and SEC regulatory requirements
- Developing and maintaining policies, procedures, and training materials related to marketing compliance within the financial sector
- Assisting with audit and exam responses related to the marketing review process, with a focus on regulatory compliance and risk management
ASSUMPTION: The specific projects and responsibilities of the Compliance Advisor, Marketing role may vary depending on the company's needs and priorities, but will likely focus on regulatory compliance, effective communication, and collaboration with cross-functional teams.
❓ Key Questions to Ask During Interview
- Can you describe the typical workload and priorities for this role, and how they may vary throughout the year?
- How does the Compliance team collaborate with the Marketing team, and what are the key challenges and opportunities in this relationship?
- What are the most important regulatory requirements for this role, and how do they impact the day-to-day responsibilities?
- How does SoFi support the professional development and career growth of its employees, particularly in the Compliance and Marketing teams?
- What are the key priorities for the Compliance team in the next 12-24 months, and how does this role contribute to those priorities?
ASSUMPTION: The interview process for the Compliance Advisor, Marketing role is an opportunity to assess the candidate's fit for the role and the company's culture, as well as to gain insights into the specific responsibilities and priorities of the position.
📌 Next Steps for Applicants
To apply for this position:
- Submit your application through the SoFi Careers page
- Tailor your resume and cover letter to emphasize your relevant skills and experience for this role, with a focus on marketing compliance within the financial sector
- Prepare for behavioral and situational interview questions that assess your problem-solving skills, attention to detail, and ability to work effectively in a fast-paced environment
- Research SoFi's company culture and values to demonstrate your fit for the organization
- Follow up with the hiring manager or recruiter within one week of submitting your application to express your interest in the role and reiterate your qualifications
⚠️ This job description contains AI-assisted information. Details should be verified directly with the employer before making decisions.
