Chief Compliance Officer, Cash App Investing

The role

You will lead and mature the compliance program for the FINRA/SEC-regulated investing business. This includes overseeing broker-dealer obligations, product advisory, regulatory engagement, and team execution.

What you will do

• 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, and identity theft.
• 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.

Required qualifications

• 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.

Nice to have

• 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

About the company

Block, Inc. builds technology to increase access to the global economy through brands like Square, Cash App, Afterpay, TIDAL, Bitkey, and Proto.