Remote Chief Compliance Officer - FinTech Investing

Block; San Francisco (CA); Remote; USD 218,000 - 327,000; Full time

Benefits offered by this job

Remote work

Medical insurance

Flexible time off

Retirement plans

Family planning support

Job summary

Block's Cash App Investing seeks a Chief Compliance Officer to lead and mature its FINRA/SEC-regulated investing business, reporting to the Head of Global Regulated Entities at Block. You will provide senior compliance leadership across broker-dealer obligations, product advisory, regulatory engagement, governance, and team execution.

This role will partner closely with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to support

Qualifications

• 10+ years of compliance experience in broker-dealer or fintech environments.
• Deep knowledge of FINRA and SEC requirements applicable to retail broker-dealers and digital investing platforms.
• Experience in senior compliance leadership roles (CCO or deputy CCO) and regulatory exams.
• Ability to advise product, engineering, operations and business teams on regulated financial products.

Responsibilities

• Lead the Cash App Investing compliance program with policies, controls, monitoring, testing, reporting, and governance.
• Oversee supervisory controls, escalation routines, and compliance operating processes.
• Advise product, engineering, operations, marketing, legal, and business leaders on investing product development and regulated activities.
• Oversee broker-dealer compliance obligations, including filings, books and records, and product reviews.
• Lead or support FINRA, SEC, state, and other regulatory exams, inquiries, remediation plans, and regulator engagement.
• Partner with Financial Crimes Compliance on AML and related regulatory expectations.
• Develop reporting for senior leadership, governance forums, and the Board on risks and program maturity.
• Lead and develop a compliance team with clear ownership and accountability.

Skills

Compliance leadership

Regulatory knowledge

Communication

Team development

Risk-based decisions

Job description

Block's Cash App Investing seeks a Chief Compliance Officer to lead and mature its FINRA/SEC-regulated investing business, reporting to the Head of Global Regulated Entities at Block. You will provide senior compliance leadership across broker-dealer obligations, product advisory, regulatory engagement, governance, and team execution.

This role will partner closely with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to support