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Compliance Specialist, Regulatory Change Management



United States
Posted on Thursday, September 14, 2023

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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 Specialist Regulatory Change Management Officer will provide oversight and governance of the organization’s second line of defense Regulatory Change Management Program (“Program”). This includes defining standards for the execution of the Regulatory Change Management Program, monitoring regulatory changes from federal, state and international regulators, overseeing the assessment and implementation of such regulatory changes at the organization and reporting on the Program to management and key stakeholders.

What you’ll do:

  • Assist with strategy for redesigning and enhancing the Regulatory Change Management Program

  • Create and maintain applicable Regulatory Change Management Program documents including process flows policies, procedures, standards, etc.

  • Manage and/or provide support with 3rd party vendor applications/systems (e.g., GRC tools, RegTech applications) and/or collaborate with internal system owners to ensure applications/systems are appropriate to support execution of the Regulatory Change Management Program

  • Customize/build and maintain workflows, templates, etc. used in executing the Regulatory Change Management Program

  • Train and provide ongoing guidance/support (as needed) on the execution of the Regulatory Change Management Program

  • Monitor and perform high level analysis of regulatory changes from federal, state and international regulators

  • Communicate regulatory changes to subject matter experts (SMEs) in Legal and Compliance for assessment to determine applicability and impact to the organization

  • Work collaboratively with Legal and Compliance SMEs, and first line business units to provide guidance on developing action plans to implement regulatory changes

  • Perform quality assurance (QA) reviews of regulatory change assessments performed by Legal and Compliance SMEs, as well as action plans provided by the first line business units to implement regulatory changes for adherence to Program standards

  • Track the status of regulatory changes from assignment to Legal and Compliance SMEs to implementation of action plans by the business unit(s)

  • Maintain the inventory of regulatory changes (e.g., in the GRC platform)

  • Identify appropriate reporting needs, working with various stakeholders to develop Regulatory Change Management Program reports, key metrics, dashboards, etc.

  • Prepare Regulatory Change Management Program reports and present Program updates 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, implementing and executing Regulatory Change Management Programs

  • Experience using or maintaining a repository for regulatory changes (e.g., GRC platform)

  • 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.