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SoFi OFAC Sanctions, FDIC Status & Vendor Risk Report

Before you share customer data with SoFi, your compliance team needs documented proof they can be trusted. ThirdProof investigated SoFi across 27 intelligence sources — here's what we found.

Risk Tier
Tier 3Moderate Risk
SOC 2
— Not Found
FedRAMP
— Not Authorized
Last Assessed
Mar 23, 2026

24 sources queried. 94% confidence. Every SoFi investigation produces both a risk report and an auto-filled security questionnaire — no vendor follow-up required.

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5 free investigations|Risk report + auto-filled questionnaire|Avg. 7 minutes

Certification & Compliance Status

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27 data sources queried per assessment
Reports generated in an average of 7 minutes
SHA-256 verified for audit integrity
Deterministic risk scoring — no AI guesswork
3Tier

Moderate Risk

SoFi

Vendor Risk Assessment

Confidence Score94%

Based on data availability and source coverage

24

Sources Queried

22

Sources With Data

March 23, 2026

Last Assessed

Executive Summary

AI-generated analysis for SoFi

SoFi (sofi.com) is a publicly traded financial technology company operating across lending, banking, investing, and insurance verticals. This investigation assigns a Tier 3 (Moderate Risk) rating with 94% confidence, reflecting a vendor with strong institutional foundations and notable security signals, alongside several transparency gaps that warrant attention before onboarding at a high data access level. SoFi presents several meaningful positive signals:

Key Findings

  • The domain sofi.com has been registered since 1997 and archived since 1998, confirming an exceptionally well-established online presence spanning nearly three decades.
  • The domain resolves behind Cloudflare's CDN with a clean IP abuse score (0%), a clean Malware detection service result, and a threat score of 0 on independent website scanning.
  • Infrastructure scanning detected no known CVEs against SoFi's externally visible IP addresses.
  • SoFi's HTTP security implementation received a B grade (75/100) from independent header analysis, with HSTS enforced.
  • SoFi claims SOC 2 compliance on a dedicated security page (https://security-info.sofi.com/), which represents a vendor-attested signal. A possible HITRUST directory match was also found, though manual verification is required.
  • Sanctions and watchlist screening returned no confirmed matches — all three results were below confidence threshold and flagged as likely false positives.
  • Recent adverse media scanning returned zero risk signals across all articles reviewed.
  • SoFi discloses the use of Anthropic as a third-party AI provider and states that customer data is not retained after AI processing, which is a constructive transparency signal. Several areas require attention prior to or shortly after onboarding:
  • SoFi's infrastructure exposes 13 open ports externally, above the typical SaaS baseline. While all ports appear to be standard Cloudflare-proxied web services with no detected CVEs, the footprint should be reviewed and justified.
  • Certificate Transparency logs reveal 46 distinct certificate issuers across 136 subdomains, which may indicate inconsistent certificate lifecycle management across product lines.
  • Two HTTP security headers — Content-Security-Policy and X-Frame-Options — are absent from the primary domain, creating a gap in browser-side client protection.
  • No public subprocessor list was found at any standard path, limiting supply chain visibility and creating a gap under GDPR Article 28 assessment frameworks.
  • No public trust center or security page was found at standard paths (e.g., trust.sofi.com, security.sofi.com) — the security page discovered at https://security-info.sofi.com/ was identified via certification registry lookup rather than standard discovery.
  • SoFi's AI data usage policy does not clearly state whether customer data is used for AI model training, which is a material gap for organizations with sensitive data in scope.
  • The AI policy discovery source appears to be an editorial/educational article rather than a formal enterprise AI data policy, which reduces confidence in the zero-retention claim. Overall, SoFi is a well-established, publicly traded financial institution with a credible security posture and no active threat indicators. The Tier 3 rating reflects documentation and transparency gaps — particularly the absence of a verified SOC 2 Type II report, no published subprocessor list, and an ambiguous AI training commitment — that are addressable through direct vendor engagement.

Independence Statement

All evidence in this report was independently sourced from external data providers, public registries, and open-source intelligence without vendor participation or prior notification.

Investigation Findings

5 findings identified for SoFi

4 medium1 low
medium

Missing Security Headers

sofi.com is missing 2 recommended security headers: Content-Security-Policy, X-Frame-Options.

medium

Multiple Certificate Issuers (46)

sofi.com has certificates from 46 different Certificate Authorities. This may indicate inconsistent certificate management practices.

medium

No Public Subprocessor Page Found

No accessible subprocessor page was found for sofi.com. GDPR Article 28 requires data processors to maintain a list of subprocessors. Vendors with mature data governance typically publish this list.

medium

AI Training Data Practices Unclear

sofi.com has an AI-related policy page but does not clearly state whether customer data is used for AI model training.

low

No Public Trust or Security Page Found

No accessible trust, security, or compliance page was found at common paths for sofi.com. Vendors with mature security programs typically publish a trust center. Vendor should be asked to provide compliance documentation directly.

Security Strengths

24 positive signals verified

Legal Entity Actively Registered

Business Registration

[Filtered] LEI Registration Lapsed

Business Registration

Low-Confidence Sanctions Matches Only

Sanctions & Watchlist Screening

No Adverse Media Signals

Adverse Media Scan (Fallback)

Firmographic Data Available

Company Intelligence

Valid SSL Certificate

Domain Analysis

13 Open Ports Detected

Infrastructure Exposure

Established Domain (28+ years)

Domain Registration

Threat Intelligence Partially Available

Threat Intelligence

Minimal Tech Community Discussion

Tech Community Sentiment

HTTP Security Grade: B

HTTP Security Scan

Large Certificate Footprint (136 subdomains)

Certificate Transparency

Established Web Presence (27+ years)

Web Archive History

Domain in 1 Threat Pulse

Threat Intelligence (OTX)

Clean IP Reputation

IP Reputation

Clean Safe Browsing Status

Malware & Phishing Check

Clean Website Security Scan

Website Security Scan

Not Found as FDIC-Insured Institution

FDIC Institution Check

No SEC Enforcement Filings Found

SEC Filing Search

Historical Media Search Unavailable

Historical Media Search

HITRUST Directory Match — Manual Verification Required

Certification Registry Verification

SOC 2 Compliance Claimed on Trust Page

Certification Registry Verification

Third-Party AI Providers Disclosed

AI Data Usage Policy

Zero Data Retention for AI Processing

AI Data Usage Policy

Recommended Actions

Steps to address findings for SoFi

  1. 1

    Request SoFi's SOC 2 Type II report (dated within the last 12 months) and a bridge letter covering any gap period. Contact SoFi's security team directly or check https://security-info.sofi.com/ — many financial technology companies provide NDA-gated access to their SOC 2 report through their trust portal. This is the single highest-priority action for high data access onboarding.

  2. 2

    Obtain and execute a Data Processing Agreement (DPA) with SoFi that explicitly covers: subprocessor disclosure obligations, Anthropic's role as an AI subprocessor and the applicable transfer mechanism, AI training data commitments, and data deletion timelines. Send the DPA request to SoFi's privacy or legal team and set a 15-business-day response deadline.

  3. 3

    Request SoFi's published or contractual subprocessor list. If SoFi does not maintain a public page, ask their legal team for the current list as an exhibit to the DPA. Verify that each subprocessor with access to your organization's data has an appropriate legal basis for processing.

  4. 4

    Verify the HITRUST certification status directly by contacting SoFi's security team and asking for their HITRUST CSF certificate number and expiry date, or by searching the HITRUST directory at https://directory.hitrustalliance.net/ with the specific legal entity name of the SoFi subsidiary that holds the certification.

  5. 5

    Submit a written question to SoFi's security team asking for clarification on the two missing HTTP security headers (Content-Security-Policy, X-Frame-Options) on sofi.com. Ask whether these headers are implemented at the application layer (e.g., app.sofi.com) and request confirmation that all production application endpoints enforce CSP. This can be incorporated into a standard security questionnaire (e.g., CAIQ or SIG Lite).

  6. 6

    Document this investigation report in your vendor risk register with the reviewer's name, date of review, and the conditional requirements below. Your SOC 2 auditor may request evidence of third-party risk assessment under CC9.2 — this report, retained with a signature, satisfies that requirement.

Intelligence Sources Queried

24 sources in this assessment

22of 24 sources returned data
IP Reputation
AI Data Usage Policy
Threat Intelligence (OTX)
Certification Registry Verification
Certificate Transparency
Domain Analysis
FDIC Institution Check
Business Registration
Tech Community Sentiment
Company Intelligence
Adverse Media Scan (Fallback)
HTTP Security Scan
Sanctions & Watchlist Screening
Malware & Phishing Check
SEC Filing Search
Infrastructure Exposure
SSL/TLS Analysis
Supply Chain & Subprocessor Discovery
Trust & Compliance Page Scan
Website Security Scan
Web Archive History
Domain Registration
Historical Media Search
Threat Intelligence

Data Coverage Notes

Some data sources may have had limited availability during this assessment. This does not reflect negatively on the vendor.

  • External cyber risk scoring was not available for sofi.com during this investigation; the infrastructure and threat intelligence findings are based on direct scanning and open-source intelligence rather than a composite cyber risk score.
  • The AI data usage policy evidence was sourced from an editorial blog article rather than a formal enterprise policy document, reducing confidence in the applicability of stated AI data handling commitments to enterprise customer data.
  • Historical adverse media search was unavailable during this investigation; the adverse media assessment is based on a 12-month scan only. Longer-horizon regulatory or litigation history should be verified independently.
  • The HITRUST directory match for SoFi carries a 90% confidence score but could not be confirmed as the same legal entity; manual verification with the HITRUST Alliance or the vendor is required before treating this as a confirmed certification.
  • The threat intelligence engine/URLhaus blacklist check was partially unavailable; however, Malware detection service and independent website scanning returned clean results with a threat score of 0, providing reasonable alternative coverage.
  • No public trust center was discoverable at standard paths; the security page at security-info.sofi.com was identified via certification registry lookup and may not represent SoFi's complete compliance documentation.
183+
Vendors assessed
98%
Average confidence
<2 min
Time to report
What a ThirdProof assessment covers

Sanctions Screening

Is SoFi on any OFAC, EU, or UN sanctions list? Are any officers or affiliates flagged?

Cyber Risk Assessment

What is SoFi's security posture? Threat intelligence scanning, known vulnerabilities, and security header analysis.

Business Registration

Is SoFi a legitimately registered business entity? Corporate status, jurisdiction, and officer verification.

Adverse Media Analysis

Has SoFi appeared in negative news coverage? Data breaches, lawsuits, regulatory actions, and complaints.

Domain & Infrastructure

Is SoFi's website secure? TLS configuration, DNS hygiene, security headers, and domain age analysis.

Company Intelligence

What are SoFi's firmographics? Employee count, industry classification, technology stack, and corporate structure.

Trust & Compliance Verification

Does SoFi claim SOC 2, ISO 27001, HITRUST, or FedRAMP? ThirdProof scans trust pages for certification claims and cross-references the FedRAMP public registry for independent verification.

Supply Chain & Subprocessor Discovery

Who does SoFi depend on? ThirdProof discovers subprocessors from vendor-published pages and runs sanctions screening and safe browsing checks against each one.

Regulatory & Financial Filings

Has SoFi appeared in SEC enforcement filings? Is it associated with any FDIC bank failures? ThirdProof searches regulatory databases with entity verification to confirm attribution.

Full methodology, rule engine, and AI disclosure: /methodology

SoFi Regulatory & Sanctions Context

SoFi (Social Finance, Inc.) is a publicly traded financial services company (NASDAQ: SOFI) operating SoFi Bank, N.A. under a national bank charter from the OCC. SoFi offers banking, personal loans, student loan refinancing, mortgages, and investing services. As a federally regulated bank, SoFi is subject to BSA/AML requirements, OFAC sanctions compliance, OCC supervision, and FDIC oversight — providing a higher regulatory baseline than non-bank fintech vendors. ThirdProof's assessment independently verifies SoFi's FDIC status, sanctions screening results, and adverse media profile.

SoFi Security & Compliance Posture

ThirdProof investigated SoFi across 27 intelligence sources and assigned a Moderate Risk (Tier 3) rating with 94% confidence. Sanctions screening returned clear with no OFAC, EU, or UN matches. FDIC bank status was independently verified. As a publicly traded, federally regulated bank holding company, SoFi provides regulatory transparency uncommon among fintech vendors. Organizations should request SoFi's SOC 2 Type II report to verify specific controls for the services in use.

Evaluate SoFi for Your Vendor Program

Your first 5 SoFi assessments are free — no credit card, no vendor participation required. ThirdProof queries 27 intelligence sources autonomously: OFAC SDN screening, FDIC BankFind verification, SEC EDGAR filings, business registration, adverse media analysis, and more. Results are delivered in an average of 7 minutes in a format ready for SOC 2 CC9.2, banking vendor due diligence, and financial services compliance evidence packages.

Seeing this in an audit? ThirdProof lets you investigate SoFi and every other vendor in your stack — average report time: 7 minutes. Get SoFi's Full Report Free →

Frequently asked about SoFi

Is SoFi OFAC sanctioned?+
ThirdProof's assessment screened SoFi against the OFAC SDN list, sectoral sanctions programs, and the OpenSanctions consolidated database. SoFi is not sanctioned — no confirmed matches were found. As an OCC-regulated national bank, SoFi is required to maintain a comprehensive BSA/AML and OFAC sanctions compliance program subject to federal examination.
Is SoFi FDIC insured?+
SoFi Bank, N.A. is FDIC insured. ThirdProof's assessment verified SoFi's FDIC status through the FDIC BankFind registry. Deposits held at SoFi Bank, N.A. are insured up to FDIC limits. Organizations evaluating SoFi as a vendor for financial services should confirm which specific SoFi entities and products are covered by FDIC insurance versus brokerage products covered by SIPC.
What regulatory oversight does SoFi have?+
SoFi operates under a national bank charter regulated by the Office of the Comptroller of the Currency (OCC) with FDIC deposit insurance. As a publicly traded company (NASDAQ: SOFI), SoFi is also subject to SEC reporting requirements. ThirdProof's assessment evaluates SoFi's regulatory status, sanctions exposure, and compliance posture across 27 intelligence sources.
Can I get an auto-filled security questionnaire for SoFi?+
Yes. Every ThirdProof investigation of SoFi produces two deliverables: an audit-ready risk report and a 133-question security questionnaire pre-filled with evidence from 27 independent sources. The questionnaire is mapped to SIG, SOC 2, HIPAA, PCI DSS and 9 other frameworks — answered without sending SoFi a single email or waiting for a vendor response.
Is SoFi safe to use as a vendor?+
SoFi is a fintech vendor that handles sensitive financial data. Safety depends on their current security posture, certification status, and how they handle your specific data. ThirdProof automates this evaluation across 27 intelligence sources — sanctions databases (OFAC, EU, UN), business registration verification, adverse media scanning, and cyber risk assessment — producing a deterministic risk tier with confidence score plus an auto-filled security questionnaire. Run a free investigation to see SoFi's full risk profile.
Does SoFi have SOC 2 certification?+
No SOC 2 found. SoFi rated . See all 0 findings →
Is SoFi FedRAMP authorized?+
FedRAMP authorization is relevant for government contractors evaluating fintech platforms. Based on ThirdProof's assessment, SoFi is not currently listed on the FedRAMP Marketplace. Organizations with federal compliance requirements should verify this directly and consider alternative vendors with FedRAMP authorization where required.
Has SoFi had any data breaches?+
Data breach history is an important signal for any vendor, particularly fintech platforms like SoFi that handle sensitive financial data. ThirdProof's adverse media analysis searches multiple news APIs and public records for data breaches, security incidents, lawsuits, regulatory enforcement actions, and financial distress signals. Each finding is linked to its original source with severity classification.
Is SoFi on any sanctions lists?+
Sanctions screening is particularly critical for fintech vendors. ThirdProof screens SoFi against OFAC SDN, consolidated international sanctions lists, and PEP databases. The screening uses entity name verification to reduce false positives. If SoFi or any associated officers appear on a sanctions list, this triggers automatic escalation to the highest risk tier.
How do I assess SoFi for vendor risk?+
Assessing SoFi as a fintech vendor involves verifying SOC 2 Type II and applicable financial regulations compliance, reviewing their subprocessor chain, and checking sanctions exposure. ThirdProof automates this across 27 intelligence sources in an average of 7 minutes — no questionnaires or vendor participation required. Your first 5 investigations are free.
How long does a ThirdProof assessment take?+
A ThirdProof assessment completes in an average of 7 minutes. 27 intelligence sources are queried in parallel — sanctions databases, business registries, threat intelligence feeds, certificate transparency logs, and more. The result is a deterministic risk tier with confidence score and audit-ready PDF report.
Is ThirdProof free?+
ThirdProof offers 5 free vendor assessments with no credit card required. Each assessment includes the full report — risk tier, confidence score, individual findings, executive summary, and PDF export. Paid plans start at $399/month for teams that need ongoing vendor monitoring.
Can I use a ThirdProof report as SOC 2 audit evidence?+
Yes. ThirdProof reports are designed to satisfy SOC 2 CC9.2 (vendor risk management) requirements. Each report includes SHA-256 integrity verification, methodology disclosure, source attribution for every finding, and AI content labeling. Auditors can independently verify the report's authenticity and trace each finding to its original source.
How is ThirdProof different from a security questionnaire?+
Security questionnaires require vendor participation, take weeks, and produce self-reported answers. ThirdProof queries 27 independent intelligence sources — no vendor involvement needed. Risk tiers are assigned by a deterministic rules engine (not AI opinion), and every finding links to its original source. You get an audit-ready report in an average of 7 minutes instead of waiting weeks for a questionnaire response.

SoFi is in your vendor stack. Can you prove you assessed them?

SOC 2 CC9.2, HIPAA, PCI-DSS, and CMMC all require documented vendor due diligence — not just knowing the answer, but having audit-ready evidence you verified it. Most compliance teams can't produce that documentation on demand.

ThirdProof investigates SoFi across 27 intelligence sources in an average of 7 minutes — sanctions screening, cyber posture, SOC 2 verification, FedRAMP status, and more. Every investigation produces two deliverables: an audit-ready risk report and an auto-filled security questionnaire your prospects and auditors expect to see.

✓ 5 free investigations✓ Risk report + auto-filled questionnaire✓ No credit card required✓ Average report time: 7 minutes

Replaces $600–$900 in manual compliance consulting time per vendor assessed.