Remote Senior FinTech Compliance Leader - Broker-Dealer

Cash App; San Francisco (CA); Remoto; USD 218.000 - 327.000; Tempo pieno

Vantaggi offerti da questo lavoro

Remote work options

Medical insurance

Retirement savings plans

Descrizione del lavoro

Cash App Investing is seeking a Compliance Officer to lead and mature the compliance program for 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.

You will partner with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to

Competenze

• 10+ years of compliance experience in broker-dealer, securities, fintech or similarly regulated environments.
• Deep knowledge of FINRA and SEC requirements for retail broker-dealers and digital investing platforms.
• Experience in senior compliance leadership roles such as CCO or deputy CCO.

Mansioni

• Lead the Cash App Investing compliance program, including policies, procedures, controls, monitoring, testing, reporting and governance.
• Maintain supervisory procedures, controls, escalation routines and compliance operating processes.
• Advise product, engineering, operations, marketing, legal and business leaders on regulated activities.
• Oversee broker-dealer obligations, including communications review, filings, books and records and supervision.
• Manage regulatory exams, inquiries, remediation plans and regulator engagement.
• Partner with AML/compliance on investigations, suspicious activity monitoring and regulatory expectations.
• Oversee third-party and vendor relationships and related compliance considerations.
• Develop reporting for senior leadership, governance forums and the Board on risks and program maturity.
• Lead and develop a high-performing compliance team with clear ownership.

Conoscenze

Broker-dealer compliance

FINRA/SEC knowledge

Regulatory leadership

Regulatory exams

Descrizione del lavoro

Cash App Investing is seeking a Compliance Officer to lead and mature the compliance program for 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.

You will partner with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to