Backed by 500 Global.
About the role
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. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- 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
More about this role
It all started with an idea at Block in 2013. Initially built to take the pain out of peer-to-peer payments, Cash App has gone from a simple product with a single purpose to a dynamic ecosystem, developing unique financial products, including Afterpay/Clearpay, to provide a better way to send, spend, invest, borrow and save to our 50+ million monthly active customers. We want to redefine the world’s relationship with money to make it more relatable, instantly available, and universally accessible.
Today, Cash App has thousands of employees working globally across office and remote locations, with a culture geared toward innovation, collaboration and impact. We’ve been a distributed team since day one, and many of our roles can be done remotely from the countries where Cash App operates. No matter the location, we tailor our experience to ensure our employees are creative, productive, and happy.
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...
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