Chief Compliance Officer, Cash App Investing

🔥 15 hours ago

🏄 California – Remote

🏄 California – Remote

💵 $217.8k - $326.8k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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📋 Description

• 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 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 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 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 • 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

🏖️ Benefits

• Remote work • Medical insurance • Flexible time off • Retirement savings plans • Modern family planning • Reasonable accommodations throughout the recruitment process

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