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Director, Risk Assessments/Issue Management



United States
Posted on Tuesday, September 12, 2023

Employee Applicant Privacy Notice

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 fintech company 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:

The Senior Compliance Risk Assessment Officer will provide oversight and governance of the end-to-end compliance risk assessment process. This includes defining standards for the compliance risk assessments, overseeing execution of the process for adherence to standards, and analyzing and reporting risk assessment results to management and key stakeholders.

What you’ll do:

  • Evolve the overall compliance risk assessment process, including redesigning the risk assessment methodology

  • Develop tools, templates and methods (e.g., qualitative and/or quantitative) for performing compliance risk assessments

  • Train and provide ongoing guidance/support (as needed) on the application and execution of the compliance risk assessment process

  • Coordinate and oversee execution of annual and periodic compliance risk assessments

  • Analyze and challenge risk assessment results, and ensure consistent application of methodology

  • Prepare reports to summarize risk assessment results, and present results/updates to executive management and other stakeholders including risk and compliance committees

  • Coordinate with stakeholders such as Independent Compliance Testing, Enterprise Risk Management, Internal Audit and other teams as necessary for key data/input needed to execute risk assessments, as well as sharing risk assessment results with such stakeholders accordingly to inform their processes

  • Maintain and update the inventory of applicable rules and regulations, and products

  • Coordinate and facilitate the execution of Compliance’s quarterly Risk and Control Self-Assessments (RCSAs)

  • Perform quality assurance (QA) reviews of Compliance’s risk and control inventory, and control self-assessments for conformance with enterprise policies and standards

  • Summarize and report quarterly RCSA results to executive management

  • Monitor and track findings issued to Compliance (e.g., from Internal Audit, regulatory, self-identified/RCSAs, etc.)

  • Monitor and track findings identified and issued by Compliance to enable timely closure by the applicable business units

  • Support Compliance (from a project management perspective) on timely closure of open issues (both owned and identified by Compliance), including ensuring issue management processes are followed

  • Prepare reports on the status of open issues and present status to executive management and other stakeholders including risk and compliance committees

This job description is not intended to be all-inclusive. Employees may be asked to perform other related duties as assigned by the supervisor to meet the ongoing needs of the organization.

What you’ll need:

  • Bachelor’s degree required

  • Minimum of 8 years of relevant experience in Compliance, Legal, Audit, Regulatory Compliance Management or other related experience

  • Experience designing, building, and implementing risk assessment methodologies

  • Experience executing risk assessments

  • Professional certification such as Certified Regulatory Compliance Manager (CRCM) is preferred

Technical/Functional Competencies

  • Strong interpersonal skills to collaborate with and influence various key stakeholders/partners across 1st, 2nd and 3rd lines

  • Excellent communication skills, both oral and written, and the ability to communicate clearly with constituents at all levels of the organization, including playing the role of an effective challenger

  • Strong organizational and critical thinking skills capable of designing and implementing programs

  • Ability to analyze processes and recommend ways to improve quality and efficiency

  • Detailed oriented and able to perform data analysis

  • Experience with developing management reports

  • Experience with managing projects

  • Independently determines methods to solve most problems and takes action to execute solutions with limited assistance

  • Exercises judgment in situations with limited risk (without management involvement)

  • Escalates and suggests solutions for complex issues to avoid unintended/negative impact with team and cross-functionally

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.
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
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.