Chief Compliance Officer, Cash App Investing

Block•Bay Area, CA, United States of America, CA

34d•$217,800 - $326,800•Remote

About The Position

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. This role will partner closely with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to support responsible growth and strong regulatory outcomes.

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.

Nice To Haves

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.

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.