Chief Compliance Officer Cash App Investing

You will lead and mature the compliance program for a FINRA- and SEC-regulated investing business. You will oversee policies, controls, monitoring, reporting, governance, regulatory examinations, and compliance-team execution. You will advise product and business partners, manage regulatory risk, and provide leadership reporting on program maturity and remediation.

Responsibilities

• Lead the compliance program, including policies, controls, monitoring, testing, reporting, and governance.
• Maintain written supervisory procedures, supervisory controls, escalations, and operating processes.
• Advise product, engineering, operations, marketing, legal, and business leaders.
• Oversee broker-dealer compliance obligations and issue management.
• Lead or support regulatory examinations, inquiries, responses, remediation, and engagement.
• Partner on AML, suspicious-activity monitoring, investigations, fraud, and identity theft.
• Oversee compliance for third-party and outsourced functions.
• Develop reporting for senior leadership, governance forums, and the Board.
• Lead and develop the compliance team.

Requirements

• 10+ years of compliance experience.
• Deep knowledge of FINRA and SEC requirements for retail broker-dealers and digital investing platforms.
• Experience in senior compliance leadership roles.
• Experience managing regulatory examinations, inquiries, remediation plans, and regulator communications.
• Knowledge of supervisory controls, written supervisory procedures, communications review, complaints, books and records, regulatory filings, and product compliance.
• Experience advising cross-functional teams on regulated financial products.
• Ability to make risk-based decisions in ambiguous environments.
• Experience leading and developing compliance professionals.
• FINRA principal registration or ability to obtain required registrations promptly is preferred.
• Relevant securities registrations are preferred.

Benefits

• Remote work
• Medical insurance
• Flexible time off
• Retirement savings plans
• Modern family planning