Deputy Chief Compliance and AML Officer - Cash App Investing

The Role

This fully remote role reports to the Chief Compliance Officer (CCO) of Cash App Investing LLC (CAI). You will: (1) act as the CCO's delegate to ensure the ongoing effectiveness of CAI's broker-dealer compliance program; and (2) serve as CAI's BSA/AML Officer, safeguarding the firm against money-laundering, terrorist-financing, and sanctions risk. The ideal candidate combines deep SEC/FINRA and BSA/AML expertise with the ability to scale controls in a high-growth fintech environment and thrives in a rapid-change environment.

You Will

• Regulatory Oversight & Licensing
  • Serve as a registered principal of the broker-dealer; maintain required securities licenses.
  • Ensure CAI's activities comply with all broker-dealer laws and internal policies.
• Strategic Leadership & Governance
  • Act as day-to-day deputy for the CCO; assume duties during absences.
  • Oversee the annual enterprise Compliance Risk Assessment and present results to senior leadership and Board committees.
  • Oversee audits and testing - scoping, execution, issue tracking, and remediation verification.
  • Prepare and, when requested, present materials for Board and leadership meetings.
• BSA/AML & Sanctions (Primary AML Officer)
  • Manage the end-to-end AML program, including KYC/CDD, transaction monitoring, and sanctions screening.
  • Oversee outsourced AML functions to ensure continued effectiveness.
  • Drive independent audits and close findings.
  • Represent CAI in FinCEN, OFAC, and state AML examinations.
• Regulatory Interaction & Exam Management
  • Coordinate SEC, FINRA, and state exams, including data gathering, interviews, and responses, in partnership with the Program Manager.
  • Oversee post-exam remediation and regulatory change-management processes.
• Marketing and Communications Oversight
  • Supervise the broker-dealer's marketing-review program in partnership with the Marketing & Communications Program Manager.
• Policy & Documentation
  • Own the compliance document library, including drafting, updating, and securing approvals; ensure adoption.
• Cross-Functional Partnership & Culture
  • Advise cross-functional partners (e.g., Operations, Product, and Engineering) on regulatory requirements.
  • Design and deliver annual compliance and AML training.
  • Model a positive, accountability-driven compliance culture.

You Have

• Required Qualifications
  • 8+ years of broker-dealer compliance experience, including leadership experience.
  • Active FINRA Series 7, 63 and 24 registrations.
  • Demonstrated success scaling a compliance program in a fast-growing fintech or comparable environment.
  • Hands-on experience with regulatory exams and interaction.
  • Deep working knowledge of SEC/FINRA rules, BSA/AML, OFAC, and state securities regulations.
  • Strong policy-drafting, problem-solving, and executive-level communication skills.
  • Demonstrated success collaboration cross-functionally with product, operations, legal, and executive teams.
• Preferred Qualifications
  • CAMS, CRCM, CRCP, or similar industry certification.
  • Data-analytics fluency (SQL/Snowflake, Tableau/Looker) and advanced Excel skills.

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 company match
• Employee Stock Purchase Program
• Wellness programs, including access to mental health, 1:1 financial planners, and a monthly wellness allowance