Senior Vice President, Enterprise Chief Compliance Officer
SoFi is a new kind of finance company. From unprecedented products and tools to faster service and open conversations, we re all about helping our members get ahead and find success. Whether they re looking to buy a home, pay off their student loans, ascend in their careers, or invest in the future, the SoFi community works to empower our members to accomplish the goals they set and achieve financial greatness as a result.
Alan is a risk and compliance professional with nearly 20 years of experience in the financial services industry and capital markets. He is dedicated to contributing to the growth and value of Broker Dealers, Venture Capital Firms, Registered Investment Advisors and other market participants. More importantly, he introduces and fosters lasting, productive relationships with investors, investment professionals and institutions that result in mutual success between them.His expertise lies in design and implementation of risk and compliance controls, conducting due diligence, preparation of financial analysis, technology systems analysis, performance measurement, and assessing the overall strengths and weaknesses of investment approach and discipline.Alan holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79 and 99 securities licenses and is a designee of the CFA Institute's CIPM program. He also holds a California Real Estate Broker’s License, the CCIM designation and is a LEED AP BD+C and AP O+M. His service includes or has included the FINRA Dispute Resolutions Roster of Neutrals (Industry Panelist), CCIM Professional Standards Roster, FINRA District Committee appointee for District 1, ULI Sustainable Development Council member and ADISA Capital Markets Committee chairperson.