Staff Compliance Advisor, Marketing

The Staff Compliance Advisor, Marketing at SoFi has several key responsibilities, including reviewing and approving marketing assets submitted by the marketing team, ensuring compliance with FINRA and SEC regulations, and providing day-to-day compliance support across various business units. This role also involves tracking marketing claims, maintaining regulatory disclosures, and helping develop training materials on compliance policies.

To be considered for the Staff Compliance Advisor, Marketing role at SoFi, candidates should possess FINRA Series 7 and 24 licenses along with a solid 8+ years of relevant work experience in financial services. A degree from an accredited university or significant experience showcasing an understanding of marketing compliance is essential. Strong knowledge of regulatory requirements, keen attention to detail, and the ability to prioritize tasks in a fast-paced environment are crucial.

The Staff Compliance Advisor, Marketing contributes to compliance by reviewing marketing materials to ensure they adhere to regulation standards, collaborating with different departments to communicate compliance requirements, and actively monitoring changes in applicable laws. This pivotal role aids in creating a culture of compliance within SoFi’s marketing efforts, helping the team navigate complex regulatory landscapes.

Candidates with a preferred background in legal, compliance, marketing, or a related field are particularly suited for the Staff Compliance Advisor, Marketing role at SoFi. Experience in broker-dealer advertising compliance, an understanding of FINRA rules, and familiarity with marketing regulations in the financial sector will be valuable assets in this position.

Working as a Staff Compliance Advisor, Marketing at SoFi involves a collaborative environment where after-hours and weekend work may occasionally be required to meet deadlines. The role requires flexibility and the capacity to thrive under pressure while maintaining a strong focus on compliance standards, allowing employees to contribute effectively to the ever-evolving financial services landscape.

When discussing your experience with regulatory compliance in marketing, highlight specific examples where you ensured adherence to FINRA and SEC regulations. Be prepared to discuss particular campaigns or projects you worked on, the compliance challenges you faced, and how you addressed them effectively.

In your response, showcase your time management skills. You can explain how you assess the urgency and importance of each request and how you utilize tools or methodologies, like prioritization frameworks, to ensure timely compliance support across teams.

Demonstrate your commitment to staying informed by discussing specific sources of information such as regulatory websites, industry publications, or professional associations. You can also mention any continuing education courses or certification programs you participate in to enhance your compliance knowledge.

Prepare a compelling story about a specific compliance challenge—what the issue was, who was involved, and the impact it had on your organization. Discuss the steps you took to resolve it, focusing on collaboration and communication with other departments, which is key in this role.

Explain how you foster clear communication and collaboration by developing training sessions or documentation that breaks down compliance requirements into understandable terms. Mention methods you employ to facilitate ongoing dialogue with marketing teams to ensure compliance awareness.

Outline your systematic approach to reviewing marketing materials, mentioning how you assess the content for regulatory compliance, accuracy, and messaging. Highlight the importance of a thorough review to protect the company’s reputation and adhere to legal standards.

Share techniques you use to manage stress and prioritize tasks during busy periods, such as creating a detailed schedule or checklist. Emphasizing your ability to maintain a compliance-focused mindset under pressure would demonstrate your capability as a Staff Compliance Advisor.

Discuss how technology can streamline compliance processes, like automation tools that assist in tracking marketing claims or software that ensures regulatory adherence. Highlight any relevant technology you have used in previous roles and its benefits.

Emphasize your interpersonal skills and approachability, explaining how you engage with different teams to build trust while ensuring they understand the importance of compliance, making you an effective advisor.

Highlight your passion for promoting ethical practices and protecting the integrity of marketing efforts. Discuss how you find satisfaction in empowering teams to achieve their marketing goals while ensuring they navigate compliance challenges effectively.