California Licensed Compliance Officer
Job Summary
Leading the compliance program for Cash App Investing, the full-time California Licensed Compliance Officer will oversee broker-dealer obligations, regulatory engagement, and governance while collaborating with various teams to ensure compliance with FINRA and SEC regulations.
Key responsibilities
- Lead the development and execution of compliance policies, procedures, and controls for Cash App Investing
- Advise cross-functional teams on product development, regulatory activities, and compliance obligations
- Manage regulatory exams and inquiries, ensuring effective communication and remediation plans with regulators
Required qualifications
- 10+ years of compliance experience in broker-dealer, securities, fintech, or regulated environments
- Deep knowledge of FINRA and SEC requirements applicable to retail broker-dealers
- Experience in a senior compliance leadership role, such as Chief Compliance Officer or Deputy CCO
- Proven ability to lead and develop compliance teams with strong accountability
- Experience managing regulatory exams and advising on compliance for financial products
Complete Job Description
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