# Chief Compliance Officer, Cash App Investing

**Company**: Block
**Location**: Bay Area, CA
**Work arrangement**: remote
**Experience**: senior
**Job type**: full-time
**Salary**: $217,800-$326,800 USD
**Category**: Finance
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/block/jobs/5431065008?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_b5fdb738-bb4

## Description

Cash App Investing is seeking a Compliance Officer to lead and mature the compliance program for its FINRA/SEC-regulated investing business. The successful candidate will provide senior compliance leadership across broker-dealer obligations, product advisory, regulatory engagement, governance, and team execution.

Responsibilities:

- Lead the Cash App Investing compliance program, including policies, procedures, controls, monitoring, testing, reporting, and governance.

- Maintain and enhance written supervisory procedures, supervisory controls, escalation routines, and compliance operating processes.

- Advise Product, Engineering, Operations, Marketing, Legal, and business leaders on investing product development, customer communications, and regulated activities.

- Oversee core broker-dealer compliance obligations, including communications review, complaints, regulatory filings, books and records, employee supervision, product reviews, and issue management.

- Lead or support FINRA, SEC, state, and other regulatory exams, inquiries, responses, remediation plans, and regulator engagement.

- Partner with Financial Crimes Compliance on AML, suspicious activity monitoring, investigations, fraud, identity theft, and related regulatory expectations.

- Oversee compliance considerations for third-party and outsourced functions, including clearing broker and vendor relationships.

- Develop clear reporting for senior leadership, governance forums, and the Board on risks, issues, exams, remediation, and program maturity.

- Lead and develop a compliance team with clear ownership, sustainable coverage, and strong accountability.

Requirements:

- 10+ years of compliance experience, including significant experience in broker-dealer, securities, fintech, financial services, or similarly regulated environments.

- Deep knowledge of FINRA and SEC requirements applicable to retail broker-dealers and digital investing platforms.

- Experience serving in a senior compliance, chief compliance officer, deputy CCO, or comparable compliance leadership role.

- Experience managing regulatory exams, regulatory inquiries, remediation plans, and regulator communications.

- Strong understanding of supervisory controls, written supervisory procedures, communications review, complaints, books and records, regulatory filings, and product compliance.

- Experience advising product, engineering, operations, legal, and business teams on regulated financial products.

- Strong judgment, communication skills, and ability to make risk-based decisions in ambiguous, fast-moving environments.

- Demonstrated ability to lead, coach, and develop compliance professionals.

Preferred Qualifications:

- FINRA principal registration, such as Series 24, or ability to obtain required registrations promptly.

- Series 7, Series 14, Series 63/65/66, or other relevant securities registrations.

- Experience with mobile-first investing products, embedded financial services, clearing broker oversight, or fintech broker-dealer models.

- Experience supporting Board-level governance and regulated-entity reporting.

## Skills

### Required
- FINRA
- SEC
- compliance
- broker-dealer
- securities
- fintech
- financial services

### Nice to have
- Series 24
- Series 7
- Series 14
- Series 63/65/66
- mobile-first investing products
- embedded financial services
- clearing broker oversight
- fintech broker-dealer models

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Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/block/jobs/5431065008?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)