The Role
Cash App Investing is seeking a Compliance Analyst to support our broker-dealer compliance program for Cash App Investing LLC (CAI). This remote position reports directly to the Chief Compliance Officer and requires an experienced professional with federal and state securities regulation expertise, particularly SEC and FINRA rules.
The ideal candidate will have hands-on experience with retail brokerage compliance, supervisory activities, and surveillance operations, combined with strong attention to detail and innovative problem-solving skills.
You Will:
- Serve as a registered principal of the broker-dealer
- Maintain required securities licenses: Series 7, Series 63, and Series 24
- Ensure compliance with internal policies and applicable broker-dealer laws
- Conduct regular reviews of customer and internal communications with documented oversight
- Supervise customer and employee activities for regulatory compliance
- Perform trade surveillance to detect market abuse, insider trading, and conflicts of interest
- Monitor and prevent other regulatory violations
- Test and maintain CAI's record-keeping archiving capabilities
- Ensure proper distribution, management, and archival of CAI records per FINRA/SEC requirements
- Draft and update policies, procedures, and cross-functional documentation
- Support issue management program documentation
- Develop and deliver annual Firm Element training to registered representatives
- Monitor continuing education training programs, monitor Regulatory Element training completions, and generate periodic status reports
- Create training materials and ensure compliance with educational requirements
- Provide compliance expertise to support cross-functional teams
- Liaison with auditors and external parties as needed
- Support departmental planning and policy maintenance
- Handle customer complaints investigation and management
You Have:
Required Qualifications
- 3+ years of broker-dealer compliance experience
- Current FINRA licenses: Series 7, Series 63, and Series 24
- Experience with customer complaint handling and communication supervision at financial services firms
- Strong documentation skills for policies, standards, and procedures
- Excellent communication skills across business lines and with senior management
- Problem identification, project planning, and solution implementation experience
- Deep respect for financial regulations with drive to innovate industry practices
Preferred Qualifications
- Financial technology (fintech) company experience
- Compliance tools and workflow systems evaluation experience
- Cross-functional collaboration with product, operations, legal, and executive teams
- Technical proficiency: AWS, Snowflake, Smarsh, Erado
We're working to build a more inclusive economy where our customers have equal access to opportunity, and we strive to live by these same values in building our workplace. Block is a proud equal opportunity employer. We work hard to evaluate all employees and job applicants consistently, based solely on the core competencies required of the role at hand, and without regard to any legally protected class. We believe in being fair, and are committed to an inclusive interview experience, including providing reasonable accommodations to disabled applicants throughout the recruitment process. We encourage applicants to share any needed accommodations with their recruiter, who will treat these requests as confidentially as possible. Want to learn more about what we're doing to build an inclusive workplace? Check out our Inclusion & Diversity page
Full-time employee benefits include the following:
- Healthcare coverage (Medical, Vision and Dental insurance)
- Health Savings Account and Flexible Spending Account
- Retirement Plans including compan